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UNITED STATES COURT OF APPEALS

EIGHTH CIRCUIT

UNITED STATES COURTHOUSE, SUITE 11W

300 SOUTH FOURTH STREET

MINNEAPOLIS, MINNESOTA 55415 CHAMBERS OF

JAMES B. LOKEN

CHIEF JUDGE.

August 3, 2004

The Hon. Mary M. Lisi Chair Judicial Conference of the United States Committee on Financial Disclosure

One Columbus Circle, NE

\Vashington, D.C. 20544

Dear Judge Lisi:

In response to your letter of July 6, 2004:

1. Part VU, page 5, line 80, Column A was completed in accordance with page 39 of the filing instructions.

2. Enclosed is an amended Part IX correcting the date of signing. I see no reason why the date of signing has to be the same as the date of the report in Block 3. Rest assured I will not sign and submit a report before May 15 in the future.

3. The entries for all of the income amount codes listed at the top of page 2 of your letter are "NONE" except page 6, line 92, which should be "A" and "Dividend" in lines B(l) and B(2) respectively.

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. FINANCL"-L

Y

Committee on Financial Disclosure

•

DISCLOSURE REPORT Name ofPersan Reporting

LOKEN, JAMES B

IX. CERTIFICATION.

Date of Report

5/15120-04

I certify Iha! all information 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 lhat any information not reported was withheld because it met applicable statutoryprovisions pennitting non-disclosure.

·

I further certify that earned income from outside employment and honoraria and the acceptance of gi.f!s which have been reported are in compliance with the provisions of5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: FALSIFIES OR FAILS TO FILE TillS REPORT '-1A Y

BE SUBJECT TO CIVIL AND CRIMINAL SA..'\!CT10NS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N .E.

Washington, D.C. 20544

____________ _

J'QSffiON NAME OF ORQAN1ZATI0N/ENWY

PARTIES AND IE!lM.S

d U>

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·

Reviewing Officer

Report Required by tile EC hits FINANCIAL DISCLOSURE REPORT in Government Act of 1978

CalenOO:r Year 2003 (5 U.S.C. app. §§ 101-111)

3. Date of Reportl. Person Reporting (Last nam 1 First name, 1J;ddle initial) 12. Court ot Organizatioo

LOKEN, JAMES B

4. Title (Article In Judges indicate active or senior status

magistrate judges indicate full or part-time)

CIRCL'IT JUDGE (Active)

7. Chanibers or Office Address

U.S. Courthouse, Suite l !W

30· South Fourth Street

SllS/2004EJGIITH CIRCUE

5, ReportTyµe (check appropriate type) 6. Reporting Period

Q Nomination. Date 11112003

to O 1rulial

12/3112003

&. On the basis of the information co:::.tained in this Report 'and any modifications pertaining thereto it is,. in my opinion, in corn;>:iance with applicable laws and regulations.

Minneut>oHs, MN 55415 Date

accompanying this fonn must be follow d. Complete all parts, checking the NONE box fur each part . Sign on last page.

I. POSITIONS. (Reporting indi;idual only; see pp. 9·13 of filing instiuctwns}

0 NONE - (No reportable positions.)

1. . Past President Federal Bar Assooiation, M:inn ota Chapter

2. Member American La\v Institute

3.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 offiling instructions)

, 52j NONE (No reportable agreements.} ·

1.

0 ' '"" c:::;;

1( 2;; IJ.):=":.%t-;'1S1, 01"' :v -·:r--T\ :;::; N n w

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INCOME

SOURCE AND TYPE

DESCR1PTIQ� SOURCE

Date of Report YfNANCIAL DISCLOSURE REPORT NarneofPmonReporting

511512004LOKEN, JAMES B

ill. NON-INVES'IMENT INCOME. (Reporting individual and spouse; see pp.17-24 offilinginstructiw.s)

A. Filer's Non-Investment Incom

lii'l NONE (No reportable non-investment income.)·

SOURCE AND TYPE GROSS (yours, not spouse's)

I.

B Spouse's Non .. Investment Incom (If you we:e married during ariy portion of the reporting year; please complete this section. (dollar amount not required except for honoraria)

li2J NONE (No reportable non-investment income.) ·

I.

IV. REIMBURSEMENTS -transportation, lodging, fuod, entertainment

(lnelll<les those In spouse and dependent children. See pp. 25-27 of instructions.)

0 NONE (No such reportable reimbursements.) ·

!. UnivernityofColorado School of Law Participant. "Jw:tice 'White and thcF.xercise of Judicial Power." Jan. 24-25, 2003; Boulder, CO; lr!Ulsportatioo, food, and1o'dging expcnsos.

SOURCE DESCRIPTION

VALQECODE

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

LOKEN, JAMES B 511512004

V. GIFTS. (Includes !hose to spouse and dependent children. See pp. 28-3 l of insttu<tions.)

NONE (No such reportable gifts.) ·

!.

VI. LIABIIl1JES. (Includes those of spouse and dependent children. See pp. 32-34 ofinstrnctions.)

Iii'! NONE (No reportable !iahilitics.) -

CREDITOR

I.

.I.I (2) (3)

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Cru;b/h_1ru:ket

(4)

A

(l)

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FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 1 of7 5115/2004LOKEN, JAMES B

VII. INVESTMENTS and TRUSTS

-

A. ll. c. D.

DcseUptfoit of Assm !nc(lme during Gross value at end of Transactions during reporting period

reporting period reponingperio<!(includingtrust nssets) . (!) (2) (l) (2) (l) not exeonp'.: from disetosure

Plate (X)" after e.aeb. asset e.xempt frorn prior disclosure

DNONE (No '.!;pOl'tabk illcome, a'l.Sets, oc transactions)

L

2.

3.

4.

5.

6.

7.

8.

9.

JO.

IL

12.

13.

14.

15.

16.

17.

18.

STOCKS (All Common)

Allstate Corp.

Apogee Enterpris"'I.

Verizon Communications

Bristol Myers Squibb

Zitnmer Holdings, ln'?.

TargetCorp

Emerson Electric

EximnCorp.

Wachovia Coip.

Gabelli Equity Trust

-- .

Gabel!i Global Multimedia Trust

Gabolli Utility Trust

General Motors

Delphl Auromotive

!BM

XCeI Energy, Inc.

CenterPoint Energy. Inc.

A.'11.Cunf Type (e.g. Code l div. rent. or

(A-HJ "It.)

A Dividend

A Dividend

A Dividend

A Dividend

None

A Dividend

c Dividend

A Dividend

B Dividend

D Dividend

N:ine

A Dl\'idcnd

A Dividend

A Dividend

A Dividend

c Dividend

A Dividend

Valce v.iue Code2 Y.etlmd

(J-P) C00.3 (Q·W)

J T

.J T

K T

J T

J T

K T

M T

K'- T- -

L T

L T

J T

J T

J T .. -

J T

L T

K T

J T

Type (e.g. °""'' buy, scl' Month· tner'&Cf, Dayredemption)

Pan Sell 10/3

Sell 815

Spin-off 113

Value Code2 (J-P)

- ..

J

J

J ······ --

Gain Code l (A-"'

A

Identity of lmyedsclk:r(ifpri-lrnnsaetion)

- --·

See Part VJil

I

i i

i

-.-• . . ' · " -- -·-t-·Inl:omeitGainCode:;: - A ;':".$1",ffOOorless . ,_ - , B $!,00142,500 r::: _+'$2501...:$5-,000 - . ,n ss.001-m.ooo E =S!:,001-SSO,OOO· -- D -"" Sloo;Oo1-s.!,i)Oo.OOt( m m_:;;:MQri·tTI :s5,oOO,ooo _(Se _Cotu.'t!ll$B·1 indi:t4; - <f :"'::$50 oo1-$1Uo,000::/ :.:s i.�oo.w1,is;ooo,ooo . -i ::"" Sl 5,COO &rles K "."'SlS,O:Jl So,ooo so-v�1:.S1 000 M ""SlOO,tiV£�SD,000

·:see ¢Qrum;sc1_andD.$) :· '':"$150,000·S5G{l. (IO o' "-SSOC,0 1-Sl,DOV,OC{l :Pl _7$.i,.OOO,illnis . ,00(; P1 ""$$,000,00 £25,DOG,OOG-. P5 ==- 5,000;001-ss /lGO/JOO ?4 = sMore:tkii tS-il;-000,000

3. Valuef..1etJ oCCodet Q 0:=App:afaal R: "'Cost (Re.al E$t:<te Orly) S ':." (See• C-Olunir. v "'Oth-zr

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36.

(2) (3)

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(A)

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·FINANCIAL DISCLOSURE REPORT Date ofReport!\'arne of Person Reporting

Page2 of7 LOKEN, JAMES 13 S/15/2004

Vll. INVESTMENTS and TRUSTS - income, value, tram:cations. {includes, those oft.\e sp::r:i.<re and detx-"D<lent children. See pp. 34 51 nf filing iristruetfons.)

A. B. c. D.

Description of Assets Irrrorue during G:oss vliluo at e.'id o:f Transactions dnring reporting periOO

reporting period reportlr.g p¢ticd (ffiduding trm.1 asse.s) - (l) (2) (2) (l) Ifnot exempt from disclosure

Place "{X)" ai:i:ereach asset exempt Amo1J11t (e.g.from prior discloSurt: Code 1 dlv. n:n:. or Code2

(A-H) int) {J-P}

19. Texas Genco J

20. Reliant Resources, Inc.

21. SBC Communications B Dividend K

-22. Pactiv Cyrp. None J

23. Tenneco Automotive None J

24. Texas Utilities A Dividend J

25. ASM lnternationul None J

26. Consol. Delivery & Logistics None l

27. Cypress Semicond. Corp. None K

28. FS!lntemational, Ioc. None K

2S. Digi International None L

30. Chronimed, Inc.

3 l. Chronimed, Inc.

32. LSI Logic Corp.

33. LSI Ll>glc Corp. None K-

34. Conseco, Inc.

3S. Ascentlal S-Oftw111< Corp. None K

llewlett-Pockard Co. A Dividend J

Value fype (e.g. Method fr.I}', i;el:, Code3 merger, (Q-W) redemption)

T Spin.(Jff

Sell

T

T

T

T

T

T

T Buy

T Buy

T Buy

Part Sell

Sell

Buy

T Buy

T Buy

T

Dale: :Month Dey

113

10115

!al

316

1/14

l/17

316

1113

316

9115

lfl.l

Valle Cod •. , (J P}

J

J

- ·-

J

J

J

J

J

J

J

J

Gain Code

(A-H\

AA

B

D

Identity of b11yer/selk:r(ifpriwtc transaction)

See Part V"ill

- -

SeePartVID

Insolvent

--.L Ir. in*1Vam.eoces:- /'• ""_s17ooo:;i-ici: - .:- -- , -:-n·: :.;,sJ;rio1;s2,sQif; < :., -:"�-:¢:: - S j(}i":$5Jl9_�: _, 1--':- (S_;;c:C:Ulcnlr.sBl:filid ).. . F :�s$0,9o HID,000

_

: ----::-n- =$_Iti{l,001 S't,ti00i i::•· - ;ii1-:.=s :OOoicil�_s,S�-00o,OOO :-ffi--"'5= mi thttn s;;;o ,o6o '. I-·:.::_ vabe Co:ks: , _ _ J ""'Sls:�_ ,Jci -, - _,, K =s.1s,uo-r,.ss{),oOO. - >=:i- -- -ss :oo1:ji�� M-.:.i--$i ;OOi:.s so,oo!}" I

'(5 Colillnns CJ:.; 03) _ _

N - si;59,-000.SsoO,iJQ0 0 = _ssoc,on1 s1 ,OOO,Ot1C · : -Pl Sl iJQG;)i:i1 s_5�(10?,ooo· 'f>2_ :-'* $$JiOD,1JOt-$25,000i (tJ I P3 =S15,coo.001•SscJ)(!;J,-0oo "" sr..;:cr;; th.an:$5,0 npo,ooo

_ _

· C:Cst(R<>al Estate Daly) ' S =.Assessr.:ie:n

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Q.) (3)

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FINANCIAL DISCLOSlJRE REPORT Date ofReport Name of Pe.""Son. Reporting

Page3 of7 LOKE\, JAMES B Sll5/2004

"VIL INVESTMENTS and TRUSTS - b1come, value, transcations {im:ludcs l:hose(lftl:1e spousemul depcndentclilldrea See pp. 34 57 ofiilio_g insttoo:li0il$.)

A.

Description of Assets (including trust assets)

-

Pla::e "(X)" after eaeh asset exempt .

37.

38.

39.

40.

41.

42.

43.

44.

45.

46.

47.

48.

49.

so.

frorr: prior disclosure

Communicati ns Systems

tvietLife, Inc.

Inhale Therapeutics

Nek.'tar Iherap tics

Vishay Intertechnology

ADC Telecommunicadons

ADC Telecommunications

ADC Telecommunications

Amkor Technology

Amkor Teehoology

Conexant Systems

tvfindspeed Ter-...hnologies

Conexant Systems

JDS Uniphase

51. Computer Network T eohnology

52. Tenirory Nor!l! Company

53. Actrium Inc.

54. Atmel COIJl.

B, lnc :ne Curing:

re;:ortir .g period

(l) (7)

Amount T,.,,. (e.g. C-Odel -div. re:rt. o: (A·HJ int.)

A Dividend

None

None

None

None

None

None

None

None

None

c. D. Gross value .a: eu-:1of ira.ns:icti.ons during reporting period reporlir.g pc:icC

(I) (2) (!) lf r.t>t exempt fro;n disclosure

Value Value '!)'!"' (e.g. COC:e2 li.fothod buy, scll,

(J-P) Codel merger, (Q.\\? redemption}

K T

Sell

Exchange

J T Exchange

K T Buy

Buy

Buy

K T Buy

Part Sell

Sell

Spin-off

J T Spin-off

J T Part Sell

] T Buy

K- T Buy

J T

J T Buy

Dme: t>.fonlh # O..y

8111

1115

1115

912

316

8/5

10128

8122

10!28

6/27

6/27

7/30

1121

9'2

12131

1113

Value coo, 2 (J-P)

J

J

J

J

J

J

]

J

K

J

I

J

J

J

J

Gain Identity of Code buyer/seller 1 (A· (ifprivalc-m lransactioo}

c

SeePartVIll

SeePartVIll

ll

ll

See Part VIll

See Part VIII

A

Insolvent

Sl,OCH.J:2,SDO -- $ 501wS?;oao D

•·m;DDJ-l\lO;ooo ·r. s10,'001.s100,ooo_ M·

f - .A Sl ,000-oitess ' ,J -- 1 ' ' B 'C: , = ss,o:n t n.!9)- "" - -E: ,_..;'S-1:s;oOJ-SSO;OOO. -

- {See Gu1 Bi:iuid.D4) · F "."$50;00i:$1001-0GO. : G -s10 ,:oo- 1_,oon:ooo­... Sl{l<),cD -s25ti£lo'.;. Valup es:· J ,,,; Si 5�ti'� Or:i -- $ ..

{Se::C:ilhlml.S. C{filidD3) . N " mo,(JOO:lSOO,Otio Q. $soO,OO)'Sl,COO,OOO P1 ""S'1,000,001 $5,0CG,000 P2 "'$5,0JC,IJ:Jl- 5.DoJD,000

P4 = SMuce L'r:.a:l $50,CCC,O G

·- R =Coo. (R al rate Only; S = .4.ssesSCT!nt

(See Cciu.-rn!' V =Other

A G

J K

N ()

P3 •

R

(!)

I

.

repv ... ning

(2) u

(Z) (3)

Hz

(4) (5) Gain

l .j

. c. =5:2.50145�()90 ' · .,. ··n' :...$5,t1Ci· 'Sl5,00Ci ;":: H1 . .: s1,on:;i.Oo1 s .-0qp;orn.i:.

FINANCIAL DISCLOSURE REPORT Dat: of Report Name of Person Reporting

Page4 of7 LOKEN, JAMES B 5il512004

VII. INVESTMENTS and TRUSTS

A.

DescriptiOO of Asrets {inch:d.in$ trust assets) -

Plac-: (xr after ea<:h lt!l.Set exempt from p:ior discloSure

55, Aug•Jst Tech;t logy Corp.

S6. August Technology Corp.

51. August Technology Corp.

. 58. Select C9mfort Corp.

59. Select Comfort Corp.

60. Nokia Corp.

. 61. Oracle Corp.

62. S 1-worlcs Sotut\ons, Inc.

63. Skyworks Solutions, Inc.

64. Sk;yworks Soluti Inc.

65. Pemstar

66. Pemstar

67. N-OfS!lln, Inc.

68. CNSlnc.

69. CNSlnc.

70. Synovis Life TecluwIDgics, Inc.

71. Cyberoptics Corp.

72. Seagll!e Teclrnology

B. Income duri report� p::riod

(!)

Amount Type (e.g.. Codel div. rent. or (A-HJ int)

None

A Dividend

None

None

None

A Dividend

None

None

None

c. I>. Grossvalue at end of T:nms:ictioos during pe.'iOOreporting period

(l) (l) not exempt :from disc!osute

V<llue Value Type (e.g. Date: Value Co-::!.e 2 Mclhod bu;r, setL Month- Cmk2 (l·P) Code3 merger, Day (J·P)

(Q·W) ·J

Buy 3i6 J

Partsell RIS J .

Sell tllll K

Patt sell 5127 J

J r PartseU 10/28 J

J r . . ..

K T

Buy 3/6 J

Buy 11/17 J

J T Buy 12112 J

.

Buy 1l!3 1

Sell 912 J

J T Buy 5127 J

Buy 7130 J

l- T Buy 10/28 J

J T Buy 10/30 1

J T Buy 12/11 J

J T Buy 12112 J

Id::m,rity of Code buyer!se:ler l (A· (if private H\ transaction)

A

D --·

D

D

A

·:1 ·Im:iUm'¢1Galn es: =Sl.,-OOOttleiS .·,B:. "'":$.1;00l s1,500i · E -s_15,00i so;cioti ·

{See C9l\llllil!l Bl a:id 04) $50;001 ·$100,000 •s100.!lD1.S�\ioii.o00 . .. . . .::M<l;.et!t s.s,9 ol!o . i.:\;aiuo COOeS: =$15,tw.f ·less ... ·� S15,op1- sso;oo9.;:: · L· ,,,·S5\i;IJOlwSlOO,UOO , ''.�'I "": .J ?fiQ,1 $2 0:000.

{See ColtJ{lf.;i Cl and DJ) • Sl5Q;03 -S500,QOC '°" ssoo,00_ 1"s1.;oosi,000 Pl "'si.ooo,c01 $s,o::c.o'.)·c" $5.0or);o01-s2 .��i O? :?4 "". SMo:e.thaflssv O>.x::;noc ·

3. Vai:J.'t Method Cru!es "Af'p S1lr "" :'.::est (R.ecl :Estate Only) S = As cfilnent

{St:: Cclunm C2j ""Bool \r.ahi-C ""Oti1er )I, I = Estir.'iarcii

A. ll. c.

(I) (2) rn (2) (!) uvm

(2) (l) (4) (5)

. -'

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FINANCIAL DISCLOSURE REPORT Date ofReport Name of Person Reporting Page5 of7 LOKEN, JAMES B SllS/2004

VII. INVESTMENTS and 1RUSTS - income, vabe, transcations (include-; those of the spouse nnd depeadcnt c1n1<lren. See pp, 34 :57 of fling LutrJctfons.)

Descciptfoii of Assets (ii:duding trust asset>)

'

Place "00' efer each ass.et exempt from prior di!fclosure

73. MlITUAL FUNDS

74. Columbia Acom Fund

75. Cohimbia Newport Tiger Fund

76. Fidelity !lquitylnc0rne Fund ll

77. Fidelity 1-1.n, Tax Free Fund

78. Fidelity Emerging W..arkets Fund

79. Fide1ity Japan Fund ·

80. Fidelity Spartan Muni Income Fund Q{j .

81. ISP - Health Scienoes

82. Gabem Global Growth Fund

83. Gahelli Growth Fund

84. Guaidian Park Ave Fund

85. Haroor lnremational F1md .

86. Investment Co Arner Fund

87. Janus Fund

88. Mutual Beacon Fund

89. New Perspective Furui

90. Oppenheimer Capital Inc Fund

lm:ome during Gross vafoe a! enj of repmting pcrind r¢ponir.g riod

Amount TY!" («>' Value Vahe Codd div, rent or Codc2 h1etho<l (A·H) int) (J·P) COOe3

(Q-V.1

A Dividend M T

A Dividend K T

B Dividend L T

B Dividend L T

A Dividend J T

None J T

D Dividend N T

N°"" L T

None K T

None L T

A Dividend L T

B Divideud L T

c Dividend M T

None K'. - T

c Di\.idend N T

A Dividend K T

D Dividend M T

D, !ransactiom; du.':ir.g ropmting period

Ifnot exempt disclosure

Type {e,g, Date: buy, sell, Month· merger, red mption)

Buy 12124

Value C00.2 (J-P)

' -

K

Gain Code l (A· m

Identity of buyei:/seller(ifpriwrtetransaction)

Name change

Name change

.

!

r-1 In""'"'"G"" coo;,, .A ;;, Sl,000 od,;, : c.. - s2:srn..s1,!loo 'D· ,"'i5,00i-S15,00ti: (See Columns Bl D4) :-.,F __ =:S5p,001 s1ob,O:Jp G �-_S-160,00-i..St;OOG,DiXt; 2 - :·H1 _

1 Valuet..odes :: .-I :""s1;;,oooor'!ess K: .�:�is;001-SSP,{ii?r)-:;,:;· L-- . M .-,.,,-$100,0CJ SZSO,OOO ' . - .-- -... .(SeeCok<mnsCl a.n.d.0'.l) N =$25&,00G-S5!JO,O <J :,;.; 500.00 r scO:f4DOO_· Pl · '"" $1,oo .o:.i1 s5, o,c(i'�(­

= S25,W:IO,Ot1l_·S5U OpD,OOO! 2. -V!!:'ue Mefu9d "'AfpraiS3! r. "" Cwst (Real E.,.-x,_ "' Assessment

C ""Book \1alue \' =Olher 'J.' = Ss<L-nat:d

b .. \raiue

(2)

A

c.

(1) ('' (2) (3)

-

T

(4) (5)

coo.

'

'

j

<; "'$2,50!..£5.000 ..

FINANCIAL DISCLOSURE REPORT :.;;rune of Person Reporting Date of Report . Page 6 of7 LOKEN, JAMES B 511512004

VlI. INVESTMENTS and 1RUSTS - Income, value, tr11mcatfotiS (inclodi::s tl1ose :;ftbe spouseand dependenl: children. See PP· 34-57 offilirg iti&ttuctions.)

A.

D eripfioa c.f Assets fl.r.::!udlng trustassets) '

P:!ace (X)" a.."ler each asset exempt' frrunprior disclosure

9L Oppenheimer Strategic Income

n: Paine, WebberMM Fund

93, Putnam Growth Fund

94. Vanguard Fixed Iiic Fund S·T

95. V anguMd Fixed Inc Fund (JNMA

96. Delaware Voyageur Mn Ins Fund

97, V/ashington MutJ.al Fund

98. Vanguard WindsorFund

99. Vanguard Hi·Yi<ld Corp. Fund

JOO. Vanguard Prime J\r1M Fund

101. Vanguard Short Term Corp. Fund

102. Vanguard Long Tenn Tax Exempt Fund

103. Vanguard Wellington Ft::nd

104. Vanguard Capital Value Fwid

105, Artisan Intemationa! Fund

106. Leuthold Core lnv. Fund

107. Selected American Shares Fund

108. MISC.

n. Im:-0me dilling reporting period

(l)

A.mou.'ll: Ty,,e (e.g_ Code l div. rent or (A·H) inl)

c Dividend

B Dividend

c Dividend

D Dividend

A Dividend

c Dividend

A Dividend

B Dividend

A Dividend

Dividend

B Di\idend

A Dividend

A Dividend

B Divi.deud

A Dividend

A Dividend

D. Gr::-ss Vtl.lue at crtri of Trn:isaotioos during reporting penod reportir.g period

•! {l) If .not -OXempt from disdmmre

Value Vahro Type (e.g Date: Value Code2 Method buy, sell, Month- Code2 (J·P) Code3 merger, D"Y (l·P)

(Q-W) ·'J

L T

sen 814 J

L T

L T

I M T

K T

M

K T

K T

K T

K T

K T

K T

K T

L ·- T

M T

L T

Gai11 Id:e:!ltl:y of 'tm} ise.ller

l (A· (ii private M\ transaction)

A

'.:r:'lncOmc!G tn uXies:- : A ,,,:·s1;cioil'Qi'tcis ::; ·, B = _Sl :o _i ')$2,500 '$- :;_,, Sl5,00l-S50,00D '(se �.nsBi-l_ll".dD:4)'. F ,,;,,_5so,ooi»$l®t!!t}{)- :: ·

-· G "'S10 ,0C1-Sl,O ,DOD -H_ -'.'i-_ J- o_?D:oo1:S_(oOc, OO =More than SS,0¢�-tKiO,

C6de1r J =SI:,ooQ_tj :;_- -- , = S1;:;,001..s:S ,r;-00 i;• s5{(,001.s100. = $1-00,00!·S/. 0,000 .. = _$250,0(iC SSOO.Ofti<. 0 ""'S5 D.QQ1-Si,C00,00Ci Pl =St;ofu.®l -.Oo{l OOO- ?2 ,= £5,-000,001 -$2$,00:-i,ooo(See'C;olumnsCl andD3} _

-_p;. -_""' S S;000,001- 50,000,000 P4 ... £ik tro:oOO,oDO -3. \ 'alire 1,i!ethoJ: Caci 5 :Q "'App:a1;;a!_

TJ(St- Col ..mt-; = Ihx:L V slue ·

n:pcrting pcti-Od (l) \2)

A B .F

2 J K N P3

3. tr

I>.

(I) (2) {1) (2) (:l)

K

(4) (5)

"'

-

="S5:;tXlt-:$F�_, {)Q--<->. .:"".s:5,oo - oo_D_ Fi::

'

l.

FINANCIAL DISCLOSURE REPORT Dfile of Report Name of Person ReporJng Page7 of7 511512004LOKEN. JAM!lS B

Vll. INVESTMENTS and TRUSTS - lncome., value, traoscations (irn:ludes those of tlie spouse a."ld dependent children. See pp. 34 51 of filing ins.tru.ctions.)

A. ll.

Descript!OJi cf Ai'Se'.S Income during

(includingtrust assets) -

Place "{X)" after each asser exempt A""""" Type (e.&- frore prior disclosure Code I div. n:n:, or (A-H) int}

109. US Bank Piper Jaffray IRA A Dividend

110. Treasury Receipts

ll l. - First Areerican Large Cap Growth fund

!12. Wells Fargo Bank iRA A Dividend

113. Mesa Offihore 1rust

!14. .. Wens Fargo Bank 1'-1MF

llS. F&B Building Partneishtp No-ne

116. Vanguard \t'a:i«:thk: Annuity Plan None

117. Great Hall Money Mlliket Y'ield Fund A Divid.-nd

!18. Wells Fargo Bank A Interest

c. Gross value at end ef report:ngperiod

T ransact:irms during reporti;:ig period

lfJJo! exempt from disclosure

Vollio Value T1pe (e.g.

Code2 Met.W buy, sell. (J.P) COOe3 merger,

(Q·W) redemption)

L T

Part sell

J T

Sell

Part sell

J w

M T

J T

K T

Date: fonth

Dey

8118

811&

8118

Value C-Ode2(J-P)

J

J - --

Gain Identity c: coo. b1.1.yer/scllerI (A- (if private

transaction)

--·

incoUt� C:odt:S: = S:i,ooo ol;'tess'._ _,_ -= s1-,-061.s2,:50 . C- "":52,SOJ..SS,OOO-·" - . b ·- -.E: .-i -·

(Ste Colu.rn."IS B ! and D4 ·1 •S5G,OO 1:1$100,00-0_ • G ,,,,. SlfiG,OC•l ·Sl,U00,000 ; Hl: = s:1,-00o,noi-:SS;iJoo,noo - Mo�'. :s .Qcio)jim:;':· Vi-iu;Cori s: ,.,Sl5.0Dfi0.ks:s ":Si .001 ssv,-Ooo L sso;u-i1 si�;ooO :-,· ·: }-� . ": Sl1v,001 s_2$0:oOO (See cc:w,..ns :C ,;; $250.D'./;..$50Ci,OOO --.,,-S5i.I0,00 -£ l ,C00.-000 Pl ""$1 ,!:'..lD iJP ·SS,OOO OtXJ p'i.;·s5-, (lO,COl0 s25,{;<J0,000

�:i25,:JC:-0,0Dt-S O,DOO,tXQp ?fl. _

_,,,_ rMore_thnr.:�;so.-,{.'i:iO,OO_C -: \·Xu-:: f.,lel1od Q;ides =Awaisal ""cOst(Reill :Esia c Oniy) S "' A.ss rneiit _

S::-::-Columt: = Bool Vzlce _,, 'J..1 "'-Estimated

5/1512004

Date of Report Narne of Person RepvrtiogFINA.""<CIAL DISCLOSURE REPORT

LOKEN, J.- fES B

(Indicate part of}tep;:irt) VIlI. ADDIDONAL INFOR.c\1ATION OR EXPLANATIONS

CenterPointpnergy spun off shares ofTexns Genco on January 3, 2003 (Part VI lines 18-19)

The ASlvi t.ransaction described as a "Sell" in Part ¥11. iine 27, of the 2002 Fir..andal Disclosure Report should have been described as a ·rart Sell1' (Part VI!. line 25)

Share's 9finhale Thera.peu:k:s were ex-changed fur shares ofNektar Therapeutics on Janua.'Y 15, 2003 (Part VII, lines 39-40)

Conexant Systems spun off shares ofMindspeed Technologies on June 27, 2003 (Part VU,. lines 47-48)

AN

I

FINANCIAL DISCLOSURE REPORT Na'lle of Person Reporong Date of Report

WKEN, JAMES B 5/lS/2004

IX. CERTIFICATION.

I certify that-all information given above (including information pertaining to my spouse and minor ordependent children, if any) is accurate, true, and complete to the best ofmy knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reportep are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: IVIDUAL .WHO KNOWINGLY AND WILFULLY FALS!FIES OR FAILS TO.FILE TIIlS REPORT !vlAY BE SUBJECT TO CIViL AND CRlMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Admfuistrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544