lll PORTANT POSITION ORGANIZATION/ENTITY -- -- -··----- ·-- -·-- -- Report Required by the Ethics FINANCIAL DISCLOSUR REPORT AOii in Goverment Act of 1978 :Rev.:ii010." FOR CALENDAR YEAR 2009 (5 USC opp.§§ IOI-/ /J) t. Person Reporting (last name, first, middle initial) LOKEN, JAMES B. 2. Court or Organization ETGllTH CIRCUIT 3. Dat( of Report (15/15!2010 4. Title (/uticle III judges indicate acfr•e or senior status; magistrte judges indicate fll- or part-time) CIRCUIT JUDGE (Active) 5•. Re1>rt Txpe (check appropriate ty) D Nomination. Date D Initial [ Annual Sb. D Amended Report D Final 6. Reporting Perid 01/01/2009 to 12i3112009 7. Chambers or Ofce Addnss U.S. Courthouse, Suite l I W 300 South Fourth Street Minneapolis, MN 55415 8. On the basis or the infrmation contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applkable laws and regulations Iate ReYiew•ng Officer_ NOTES: The instructions accompanying this form must befolowed. Complete al parts, checking the NONE box for each part where you ha.e no reportable information. Sign on last page_ I. PO SJ TJ0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.) D NONE (No reportable positions.) NAME OF I. Past President Federal Bar Association, Minnesota Chapter -·- --·· 2. Member 3. 4. 5. American Law Institute JI. AGRE JJ.ENTS. (Reporing imduul only: see pp. 14-16 of filing instructi<ns.) [ NONE (No reportable agreements.) PARTIES AND TERMS I. _'.) 2. 3. Loken, James B.
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOiiJ in Government Act of 1978:Rev.:ii2010." FOR CALENDAR YEAR 2009 (5 U.S.C. opp.§§ IOI-/ /J)
t. Person Reporting (last name, first, middle initial)
LOKEN, JAMES B.
2. Court or Organization
ETGllTH CIRCUIT
3. Dat(' of Report
(15/15!2010
4. Title (/uticle III judges indicate acfr•e or senior status; magistrate judges indicate full- or part-time)
CIRCUIT JUDGE (Active)
5•. Re1>0rt T pe (check appropriate typ<)
D Nomination. Date
D Initial [{] Annual
Sb. D Amended Report
D Final
6. Reporting Period
01/01/2009
to
12i3112009
7. Chambers or Ofl'ice Addnss
U.S. Courthouse, Suite l I W 300 South Fourth Street Minneapolis, MN 55415
8. On the basis or the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applkable laws and regulations.
I.lateReYiew•ng Officer_
NOTES: The instructions accompanying this form must befollowed. Complete all parts, checking the NONE box for each part where you ha.e no reportable information. Sign on last page_
I. PO SJ TJ 0 NS. (Reporting individual only; see pp. 9-13 offiling instructions.)
D NONE (No reportable positions.)
NAME OF
I. Past President Federal Bar Association, Minnesota Chapter
-·-- --··
2. Member
3.
4.
5.
American Law Institute
JI. AG REE JVJ.ENTS. (Reporting imJMduul only: see pp. 14-16 of filing instructi<ns.)
[{] NONE (No reportable agreements.)
PARTIES AND TERMS
I.
_'.)
2.
3.
Loken, James B.
SO!IBCE LOCATION PURPOSE ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT
Page 2of9
Name of Per-son Reporting
I.OKEN, .JAMES B ..
Date of Report
0511512010
Ill. N 0 N-JNVESTl\1ENT IN C01\1E, (Reporting indfriduul 1111d spouse; see pp. 17-24 of filing imtrucrions.;
A. Filer's Non-Investment Income
[ZJ NONE (No reportable non-investment income.)
SOURCE AND TYPE
l.
INCOME (yours, not spouse's)
2.
3.
4.
B. Spouse's Non-Investment Income - If you were married durin11 any portion of the reporringyear, complete this section.
(Dollar amount not n. quired except for honoraria-)
(include. · Jhose tn spuust· and dependefll childnm; see pp. 25-17 of filing i11s1ructions.)
D NONE (No reportable reimbursements.)
L DRJ
2.
3.
4.
5.
I 1/5-6109 La Jolla, Cal. Appellate advocacy seminar
Transportation, meals, hotel
SOURCE DESCRIPTION
CODE
FINANCIAL DISCLOSURE REPORT
Page 3of9
Name of Person Reporting
LOKEN, JAMES B.
Date of Report
0511512010
V. GJ.FTS.. (lnc/ude:i; those Iv spouse u11J depentlent children; S<I! pp. 28-31 of filin;{instrw:tions.)
[{] NONE (No reportable gifts.)
I.
2.
3.
4.
5.
VI. LJABlLJTJES. (Includes those of spouse and depmdem children; see pp. 31-33 <if filing instructions.)
[Z] NONE (No reportable liabilities.)
CREDITOR DESCRIPTION
I.
VALUE
2.
3.
4.
5.
.
-I 1-!
(I) I (2) I
i
-� ---�-
--'-(J-P)
:
!
I !
s,.;x;-·--·------o ss.001 -sts.o-uo ___
(J-P)
D.
_..i
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 4of9 05/15/2010LOKEN, JAMES B.
VII. INVEST1\1ENTS and TRUSTS - income, value, transactwns r1nc1udes those •t spouse and dependent children; se• pp. 34-60 011mnc fos1ructin11s.J
D NONE (No reportable income, assets, or transacrions.)
Transactions during reporting period
---·-------··(3) (4) (5)
A. B. C.
Income during Gross value at endDescription of Assets
(including trust assets)
Place "(X)" af\cr each asset
reporting period of reporting period <n (2)
Amount I, Type (e.g., Value ! Value Type (e.g., Date -1- (I)Method , buy, sell,
Value Gain \nun!ddiyy Codc2 1. Code 1
r�-H)·r
Identity of buyer/sellerCode 2Code I 1exempt from prior disdosure div., rent.
: (A-H) i
__J__·--·-----
I. (Q-W) I Code 3 or int.) (if private redemption)
transaction) .. _
I.
2.
}.
4.
5.
6.
i '·
8.
9.
10.
ll.
12.
13.
14.
15.
16.
17.
STOCKS (All Common)
Zinuner Holdings, Inc. None J T
Target.Corp A Dividend L T
Emerson Electric c Dividend M T
Exxon Corp. A Dividend K T
Wells Fargo & Co. A Dividend J T Buy 1127109 J Wachovia Corp.
XCel Energy, Inc. c Dividend L T
FSI International, Inc. None K T Sold 12/28/09 K A (part)
Digi International None K T Buy !2/28/09 J(add'I)
Communications Systems B Dividend K T
Vishay Intertechnology None K T
ADC Telecommunications None K T
Amkor Technology None K T
Oracle Corp. A Dividend K T
Synovis Life Technologies, hie. None J T Buy 12/28/09 J(add'l)
Cybcroptics Corp. None K T Buy l 2/28/09 ](add'I)
Microsoft Corp. A Dividend K T
·--·-·
l. lncome Gain Ct�_tes: A :S 1,000 or less B =-Sl,UOI -S2.5 J c"1 .so1. ---i::sls.001-sso.oool (::iee Columns HI and 04) F sso.oot - s100.ooo G =$ l00,00 t S 1,000,0IXI H l '-$ !,OU{J,00 ! · S5.000.000 Jl2 =More lh:m S5,QOO,UOO -2 Value Co<lt: J =$1.$,000 or less K =S15.00t -s;o.ooo L "150,001 -$100,000 M "·S!OO,OQt -S250,000. (S..:e Columns ('I and DJ) N :i..::$250,00 J - SS00,1>00 o ssoo.001 -SI .000.000 Pl =Sl,000.001 · Sl,000,000 P2 =$5,(;0l),001 - S25,000,000
P3 °-S.25,tl00,001 - SSO,U00,000 N "'Mor than $50,000,000
) Vnlue IV!clho<l Codes: Q"'Appr.iisa! R ·Cost {Real bl.ate Only) S =Assessnu:.nt. {See Colun:11 C2) lJ :i.:.JJook Value V·---Other W =Estimated ' ______J
B.
( [") ingpc; o ;;pMr pe;�
_; ___ ·--· -------
rc_-_:_: _;_ '--)-I
I C( ;)2 1- _·:_-_ _:
i I !
!
i
J
1 (A-H) ! or int.) I (J-P) Cod ;J 3
Date- of RepDrt Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 5 of9 05115/2010LOKEN, JAMES B.
vn. INVESTMENTS and TRUSTS - income, v alue, ITansactions (Includes those of spouse and dependmt children; see pp. 14-60 of filing imtructimis.)
0 NONE (No reportable income, assets, or transactions.)
A. c. D. Description of As::;ets Income during Grnss value at end Transactions during reporting p.eriod (including tmst assets) l L_
(1) 1· (2) (5)I Amount Type (e g, I ,
Type (e.g., Date Value GainValue div, rent, l:]Code 2
Value Method I (Q-W)
Place "(X)" after each asset exempt from prior disclosure
Identity of
Code 1 mnMd yy buyer/seller
, (if private
_Itransaction)
18. Aetrium Inc. None J
19. Dow Chemical A Dividend J
20. Cemex S.A. A Dividend J
21. Chesapeake Energy A Dividend J
i
22. Valero Energy A Dividend J
23. Metro Health N twork None K
24. Intel Corp. A Dividend J
'25. Best Buy Co. A Dividend J I
26. Bank of America A Dividend J I
27. Transocean Ltd. None K
1, 28. lv1UTUAL FUNDS
29. Columbia Acon1 Fund None M
!30 Fidelity Equity Income Fund II B Div idend L
31. Fidelity Mn. Tax Free Fund A Dividend J
32. Fidelity Emerging Markel• Fund A Dividend J
33. Fidelity Japan Fund A Dividend J
34. Fidelity Spartan Muni Income Fund D Dividend N
T Buy (add'!)
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
8/26/09 J
.
! . Income Gain Codes: {See Columns: Bl and 04)
2. Value Codes (Sec Columns Cl and DJ)
J. Va!ue Ml.'fhod Cod.es (See Column C2)
Ao.>Sf,OOOorlessF = 50,001 • 5100,000
J=Sl5,000orkss
N <=$250,001 -$500,000 PJ =$25,00Q,OOI - S50,000,00U
Q "'Appraisal
U .::Book Value
B=··$1,00l-S2, 00 U •SI00,001 · 51,000.00ll
K=.$15,001 · S50,000
Q;S500,00l -Sl,UfJ0.000
R :-:Co!>l (Real fat.tic Only} \'=Other
C ·5 .501 • SS,000HI "°$ 1,000,00 I - .5.00!J,000 L =S50,00I - SI00,000
Date of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT
Page 6 of9 05115/2010LOKEN, JAA1ES B.
VII. INVESTMEN'fS and TRUSTS - incom'1, i•ulue, tran ... actions (Includes th > t! of SpUU.!iC and dependent children; see PP· 34-60 fl/filing i11.'ilructions.)
D NONE (No reportahle income, assets, or transactions.)
A. -- - ii c. D.T
:1Gross value at endDescription ofAssels Income during Transactions during rcpo1tlng period ;(including trust assets) of reporting period - ·(2)
l"I =Mor than :550,000.0{J(t S =:As!ies::.ment W =Estimated
D ""$.5,00J - $15,000 E=::.$15,001-S.5t1,000
H2 =:Mon than SS,fJ00,000 M •$1110,00t . 5250,000 Pl "15,000,001 • 525,000,000
T =Cash t-·farket
of filing
!
I' ,\mount
---�
(5)
,
I i
164. !
!
Vah ..
!
Date of Report Namt: of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 7 of9 05/15/2010LOKEN, JAMES B.
VII. INVESTMENTS and TRUSTS - focomc, vulu•. tra11Sactio11.• (foclude.• t/wse of splluse and depe111Ie11t children; see PP· 34-60 instructions.)
D NONE (No reportable income, assets. or transactions.)
A. B. c. ' D. Description of Assets Income during Gross value.at end Trunsactions during reporting period
(including trust assets) reporting period ofreporting period J (l) i·--(ll- 1-(2)
Place "(X)" after each asset T ypc (e.g. Va1uc Value . exempt from prior discJosurc I Code I : div.'. rent, Code2 Method
! (A-II) ' ormt.) (J-P) Codc3 (Q-W)
52.
53.
54.
55.
56.
: 57.
58.
59.
60.
61.
62.
, 63.
Artisan International Fund
Leuthold Core Inv. Fund
Selected American Sharl).< Fund
Amer Century Equity Fund
Chase Growth Fund
Dreyfus Minn Muni Fund
Icon Health Carn Fund
Matthews Paci fie Tiger Fund
Muhlenkamp Fund
MISC.
Wells Fargo Bank IRA
F &B Building Partnership
B D ividend
A Dividend
B Dividend
A Dividend
None
B Dividend
None
A Dividend
None
A Dividend
None
M T
N T
M T
M T
L T
K T
L T
L T
L T
J w
Matured 7/20/09 J A
RBS Prime Money Market Fund A Dividend J T Account changc-d MM
1 65. Schwab Advance Cash Reserve Fund
66. Schwab Advance Cash Reserve Fund
t· Wells Fargo Bank
A
A
Dividend M
Interest K
Buy (add'!)
T Buy (add'!)
T
funds I 01/07/09 K
12/22/09 K
(1J ------, <21 (.lJ I (4J Type (e.g., j Date I Value I Gain
, Identity of
buy, sell, mm!ddlyy I Code 2 , Code l 'i buyer/sdler
redemption) (if private
transaction)-- ---· : I (A-II) J _
I. Income Gain Codes: A -,-S,1,000 or less B "'Sl.IJOI - $2,51JO C =12,50 I - 55,000 D =S5,00J -$15,00/J ----E =$15.0iJJ - $50,000 -1 (See Columns Bl and D·i) F ..sso.001 - sroo.ooo Ci -s100,001 - .s1.oou.ooo HI =Sl,000.001 - $5,000,000 H2 =More than $5,000,000
1. Value Codc:s J =S 15,000 or less J.: =SJ5 ,CJOI - S50Ji00 L =$50.001 · St00,000 M =s100.r101 -$250.000
(Sec Columns Cl and D)) N =$::!50,0Ul · 5500,000 0 '-".SSIJ0,001 • Sl,000,000 Pl 41,000,001 -Sl,000,000 P2 =$5, 000,001 - $25,000,000PJ --$25.MO.OOI - SS0,000.0UO N o:More than S50,000,000
3. e t-..folhod Cod"':. Q ""Appraisal R "'Cost (Real Estate Only) S ""-Ass ssmcol 'J'-:=Ca.sh Markd (Set" Column C2) U '"''O•)o \'aluc V=01her W"'EstmMled
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 8of9 LOKEN, JAMES B. 05/t 5/2010
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. ([nrficatepano/Report.)
Vil Investments amd Trusts
Part VII, line 6 - Wells Fargo & Co. acquired Wachovia Corp. via merger
FINANCIAL DISCLOSURE REPORT
Page 9 of9
Name of Person Reporting
LOKEN, JAMES B.
D)tte of Report
05/15/2010
JX. CERTIFICATION.
I certify that all informati9n given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applkabk statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which ha ye IJ<•en reported arc in compliance with the pro,isions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL -w·uo KNOWINGLY AND WlLFULL y FALSIFIES OR FAILS TO FILE THIS REPORT MA v BE SUBJECT TO CIVIL
AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104')
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E.
