D Nomination, D Initial Annual D Final

Transcription

1 Report Required by the Ethics OIO FINNCIL DISCLOSURE REPOR in Government ct of 1978 Rev FOR CLENDR YER 2006 (5 U.S.C. app ) 1. Person Reporting (last name, first, middle initial) 2. Court or Organization LOKEN,MESB EIGHH CIRCUI itle (rticle III judges indicate active or senior status; magistrate judges indicate full- or part-time) CIRCUI UDGE (ctive) Sa. Report ype (check appropriate type) D Nomination, Date D Initial nnual D Final 6. Reporting Period 01101/2006 to 12/ Chambers or Office ddress U.S. Courthouse, Suite I IW 300 South Fourth Street Minneapolis, MN Sb. D mended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPORN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. POSIIONS. (Reporting individual only; see pp of instructions.) 0 NONE (No reportable positions.) POSIION NME OF ORGNIZION/ENIY I. Past President Federal Bar ssociation, Minnesota Chapter 2. Member merican Law Institute 5. II. GREEMENS. (Reporting individual only; see pp of instructions.) I. 2. NONE (No reportable agreements.) PRIES ND ERMS a (/ () r- - '! o :::;; ( :-"' c: Y > c rr al> :nr -r C = -. :3 -< l' - l> < '" 0 N :: rn ()

2 FINNCIL DISCLOSURE REPOR Page 2of12 LOKEN, MES B III. NON-INVESMEN IN CO ME. (Reporting individual and spouse; see pp of instructions.). Filer's Non-Investment Income [K NONE (No reportable non-investment income.) SOURCE ND YPE INCOME (yours, not spouse's) I B. Spouse's Non-Investment Income - (Dollar amount not required except for honoraria NONE (No reportable non-investment income.) If you were married during any portion of the reporting year, complete this section. SOURCE N YPE I IV. REIMURSEMENS - transportation, lodging, food, entertainmenl (Includes those to spouse and dependent children. See pp of instructions.) D NONE (No reportable reimbursements.) SOURCE DESCRIPION I. Pace University Law School udge, Feb. 25, 2006, Pace National Environmental Law Moot Court Competition (ransportation, Meals, Room) 2. 5.

3 FINNCIL DISCLOSURE REPOR Page 3of12 LOKEN, MES B V. GIFS. (Includes those to spouse and dependent children. See pp of instructions.) NONE (No reportable gifs.) SOURCE DESCRIPION VLUE I VI. LIBILIIES. (Includes those of spouse and dependent children. See pp of instructions.) NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUE CODE I

4 FINNCIL DISCLOSURE REPOR Page4of12 LOKEN, MES B VII. INVESMENS and RUSS - income, value, transactions (Includes those of the spouse and dependent chilren. See PP of filing instructions.). Description.of ssets (including trust assets) Place "QC" after each asset exempt from prior disclosure. B. c. D. Income during (I) (2) Gross value at end of (I) (2) (I) mount ype(e.g. Value Vatue ype(e.g. Date Value Code I div., rent, Code2 Method buy, sell, Month- Code2 (-H) orint.) (-P) Code 3 redemption) Day (-P) ransactions during (2) (3) (4) G1tin Code I (-H) (5) Identity of buyer/seller (if private trction) 1. SOCKS (ll Common) 2. llstate Corp. Dividend K Verizon Communications Dividend Idearc None Spinoff Spino ff by Verizon 5. Bristol-Myers Squibb Dividend 6. Zimmer Holdings, Inc. None 7. arget Corp Dividend L 8. Emerson Electric c Dividend M 9. Exxon Corp. Dividend K 10. Wachovia Corp. c Dividend M 11. Gabelli Equity rust D Dividend M 12. Gabelli Global Multimedia rust Dividend 1 Gabelli Utility rust B Dividend K 1 General Motors Dividend 15. IBM B Dividend L 16. XCel Energy, Inc. c Dividend L 17. CenterPoint Energy, Inc. Dividend I. Income Gain Codes: =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E=$15;001 -$50,000 (See Columns BI and D4) F =$50,00 I -$100,000 G =$100,001 -$1,000,000 HI =s1.ooo.001 -S5,ooo;ooo H2 =More than $5,000, Value Codes =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 {See Columns C and D3) N =$250,00 I -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 Value Method Codes P3 =$25,000,00 I -$50,000,000 R =Cost (Real Estate Only). P4 =More than $50,000,000 =Cash Market Q =ppraisal V=Oer S =ssessment U =Book Value W =Estimated

5 \ FINNCIL DISCLOSURE REPOR Page 5of12 LOKEN, MES B VII. INVESMENS and RUSS -income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.). Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B.. c. D. Income during Gross value at end of ransactions during (I) (2) (1) (2) (1) (2) (3) (4) (5) mount ype(e.g. Value Value y(e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 blyer/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private transaction) 18. & Inc. (formerly SBC Communications) B Dividend K 19. Pactiv Corp. N.one 20. XU (exas Utilities) Dividend K 21. SM International None Sell 8/1 c 22. Consol. Delivery & Logistics None Sell 9/11 2 Cypress Semicond. Corp. None K 2 FSI International, Inc. Part Sell 8/1 c 25. FSI International, Inc. None K Part Sell 11/30 K c 26. Digi International None 27. LSI Logic Corp. Part Sell 3/27 K D 28. LSI Logic Corp. Part Sell 4/27 B 29. LSI Logic Corp. None Sell 8/1 B 30. Hewlett-Packard Co. Dividend Sell 917 K E 31. Communications Systems Dividend K 32. Nektar herapeutics None 3 Vishay Intertechnology None Part Sell 12/29 3 DC elecommunications Buy 6/21 1. Income Gain Codes: =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns BI and 04) F =$50,001 - S100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M=$100,001 -$250,000 (See Columns Cl and D) N =$250,001 -$500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 -$5,000;000 P2 =$5,000,001 -$25,000,000 Value Method Codes Pl =$25,000,001 -$50,000,000 R =Cost(Real Estate Only) P4 "'More than $50,000,000 =CashMarlcet Q =ppraisal V=Other S =ssessment U =Bok Value W =Estimated

6 \ FINNCIL DISCLOSURE REPOR Page 6of12 LOKEN, MES B VII. INVESMENS and RUSS - income, value, transactions (Includes those of the spouse and dependent children. See pp of fiing instructions.). B. c. D: Description of ssets (including trust assets) Income during Gross value at end of ransactions during Place "(X)" after each asset exemptfrom prior disclosure (I) mount Code 1 (ch) (2) ype(e.g. div., rent, or inl) (I) Value Code 2 (-P) (2) Value Method Code3 (l) ype(e.g. bily, sell, redemption) (2) Date Month- Day (3) Value Code 2 (-P) (4) Gain Code! (-H) (5) Identity of buyer/seller (if private transaction) 35. DC elecommunications None L Buy 11/ mkor echnology Buy 1/ mkor echnology None K Part Sell 11/30 K B 38. Conexant Systems None 39. tmel Corp. None Sell 8/1 B 40. Select Comfort Corp. Part Sell 2/6 D 41. Select Comfort Corp. None K Buy 917 K 42. Nokia Corp. Dividend 4 Oracle Corp. None K 4 Skyworks Solutions, Inc. Buy 6/ Skyworks Solutions, Inc. None K Part Sell 12/ Synovis Life echnologies, Inc. None K Buy 11/ Cyberoptics Corp. Buy 1/ Cyberoptics Corp. None K Buy 12/ Seagate echnology None Sell 1/25 B 50. Microsoft Corp. Dividend 51. Mesa ir Group, Inc. None Sell 6/21 c l. lncome_gai.n Codes:. =$1,000 orless B =Sl,001 -$2,500 c =$2,501 -$5,oO D =$5,00I -$15,000 E =$15,001 -$50,000 (See Colnmns BI and 04) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000 2.Valuc Codes 1 =$15,000 orless K =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl and D) N =$250,00I -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 Value Method Codes P3 =$25,000,001 -$50,000,000 Q=ppi;ai U =Book Value R =Cost (Real Estate Only) V=Other P4 =More th $50,000,000 S =ssessment W =Estimated =Cash Market

7 ' FINNCIL DISCLOSURE REPOR Page 7of12 LOKEN, MES B VII. INVESMENS and R us S - income, value, transactions (Includes those of the spouse and dependent childrell See pp of filing instructions.). Description of ssets (including tiust assets) Place "(X)" after each asset exempt frm prior disclosure B. c. D. Income during Gross value at end of ransactions during (I) (2) (I) (2) (I) (2) (3) (4) (5) mount y(e.g. Value Value ype(e.g. Date Value Gain Identity of Code! div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private transaction) 52. ugust echnology Inc. Buy 1/25 5 ugust echnology Inc. None Sell 2/28 Plus exchange for Rudolph 5 Rudolph echnology None Exchange 2/28 For ugust stock 55. Intrawest Buy Intrawest Dividend Sell 6/ etrium Inc. None Buy 3/ Dow Chemical Dividend Buy 3/ CemexS.. Buy 4/ CemexS.. Dividend Buy 6/ Chesapeake Energy Dividend Buy 8/1 K 62. Valero Energy Buy 8/1 K 6 Valero Energy Dividend K Buy I 1/30 6 Metr o Health Network Buy 11/ Metro Health Network None Buy 12/ Boston Scientific Corp None Buy 12/ MUUL FUNDS 68. Columbia com Fund E Dividend N 1. Income Gain Codes: =$1,000 orless B =$1,00 I - $2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Colums BI and 04) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes =$15,000 orless K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 (See Columns C 1 and D) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 Value Method Codes P =$25,000,001 -$50,000,000 Q =ppraisal U=BookValue R =Cst (Real Estate Only) V=Oer P4 =More than $50,000,000 S =ssessment W =Estimated =Cash Market

8 ' FINNCIL DISCLOSURE REPOR Page 8of12 LOKEN, MES B VII. INVESMENS and RUSS - income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.). Description of ssets {including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c. D. Income during Gross value at end of ransactions during (1) (2) {!) (2) {!) (2) (3) (4) (5) mount y {e.g. Value Value y {e.g. Date Value Gain Identity of Code 1 div., rent, Code2 Method buy, sell, Month- Code2 Code I buyer/seller {-H) or int.) {-P) Code3 redemption) Day {-P) {-H) ( if private transaction) 69. Fidelity Equity Income Fund II D Dividend L 70. Fidelity Mn. ax Free Fund B Dividend L 71. Fidelity Emerging Markets Fund Dividend 72. Fidelity apan Fund Dividend 7 Fidelity Spartan Muni Income Fund D Dividend N 7 Fidelity Real Estate Fund D Dividend N Gift 12/11 N 75. Harbor International Fund D Dividend M 76. Investment Co mer Fund D Dividend M 77. Mutual Beacon Fund E Dividend N 78. New Perspective Fund c Dividend L 79. Oppenheimer Capital Inc Fund D Dividend M 80. Oppenheimer Strategic Income D Dividend M 81. Vanguard Fixed Inc Fund S- c Dividend L 82. Vanguard Fixed Inc Fund GNM D Dividend M 8 Washington Mutual Fund D Dividend M 8 Vanguard Windsor Fund D Dividend L 85. Vanguard Hi-Yield Corp. Fund c Dividend K I. Income Gai Coes: =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 0=$5,001-$15,000 E =$15,001 -$50,000 (See Columns B 1 and 04) F =$50,00I - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5;000, Value Co =$15,000 or less K =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl and D3) N =$250,00I-$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 'C$5,000,001 -$25,000,000 Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More th. $50,000,000 =Csh M ket Q =ppraisal V=Other S =ssessment U =Book Value W =Estimated

9 . FINNCIL DISCLOSURE REPOR Page 9of12 LOKEN, MES B 05/i5/2007 VII. INVESMENS and RUSS - income, value, transactions (Includes those of the spouse and dependent children. See PP of fiing instructions.). B. c. D. Description of ssets Income during Gross value at end of ransactions during (including trust assets) (I) (2) (I) (2) (2) (4) Place "(X)" after each asset mount ype(e.g. Value Value ype (e.g. Date Value Gain Identity of exempt from prior disclosure Code! div., rent, Code 2 Method buy, sell, Month- Code 2 Code! buyer/seller (-H) or int) (-P) Code 3 redemption) Day (-P) (-H) (if private transaction) (I) (3) (5) 86. Vanguard Prime MM Fund B Dividend K 87. Vanguard Short erm Corp. Fund Dividend K 88. Vanguard Long erm ax Exempt Fund B Dividend K 89. Vanguard Wellington Fund c Dividend K 90. Vanguard Capital Value Fund c Dividend K 91. rtisan International Fund D Dividend M 92. Leuthold Core Inv. Fund D Dividend N 9 Selected merican Shares Fund B Dividend M 9 mer Century Equity Fund D Dividend M 95. Chase Growth Fund c Dividend L 96. Dreyfus Minn Muni Fund B Dividend K 97. Icon Health Care Fund c Dividend L 98. Matthews Pacific iger Fund B Dividend L 99. Muhlenkamp Fund Dividend M 100. MISC. IOI. Wells Fargo Bank IR Dividend 102. F&B Building Partnership None w 1. Income Gain Codes: =SI,ooo or less B =$1,001-$2,500 c =$2,501 -$5,000 D =$5,001 $15,000 E =$15,001 -$50,000 (See Colwnns BI and 04) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More th $5,000, Value Co =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 - $250,000 (See Colwnns Cl and 03) N =$250,00 I - $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000;001 - $25,000,000 Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cst (Real Estate Only) P4 =More than $50,000,000 =Cas Market Q =ppraisal V=Oer S =ssessment U =Book Value W =Estimated

10 FINNCIL DISCLOSURE REPOR Page 10of12 LOKEN, MES B VII. INVESMENS and RUSS - income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.). Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c. D. Income during Gross value at end of ransactions during (1) (2) (1) (2) (1) (2) (3) (4) (5) mount ype (e.g. Value Value ype (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (-H) or int.) (-P) Code 3 redemption) Day (-P) (-H) (if private transaction) 10 Vanguard Variable nnuity Plan None M 10 amarack Investment ax Free Fund Dividend 105. Schwab dvance Cash Reserve Fund Dividend 106. Wells Fargo Bank Interest K - I. Income Gain Coes: =$1,000 or less B =$1,001 -$2,500 C =$2,50I $5,000 D=$5,001-$15,000 E =$15,001-$50,000 (See Columns BI and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 H =SI,000,001 -$5,000,000 H2 =More thn $5,000, Value Codes =Sl5,000orless K =$15,001 - $50,000 L =$50,001 -$100,000 M =$ 00,00 - $250,000 (See Coluinns Cl and D) N =$250,00 - $500,000 0 =$500,001 -$1,o00,000 p =$1,000,00 - $5,000,000 P2 =s5,ooo,001 -s25,ooo,ooo Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market Q =ppraisal V=Other S =ssessment U =Book Value W=Estimated

11 ' FINNCIL DISCLOSURE REPOR Page 11of12 LOKEN, MES B VIII. DDIIONL INFORMION OR EXPLNIONS. (Indicale parlo[report.)

12 FINNCIL DISCLOSURE REPOR Page 12of12 LOKEN, MES B IX. CERIFICION. I certify that 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 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 reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udicial Conference regulations. /S de0'7 I NOE: NY INDIVIDUL WHO KNOWINGLY ND WILFULLY FLSIFIES OR FILS O FILE HIS REPOR MY BE SUBEC O CIVIL ND CRIMINL SNCIONS (5 U.S.C. app. 104) FILIG INSRUCIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C