6. repoting period d ll d o...aim global real estat: (agrex) buy 06/03 j (add'i) 7. aim global...

POSITION NAME OF ORGANIZATION/ENTIIT

PARTIES AND TERMS

a

r:a rn •r-

Oz -.

c; .. ::0 :::o- ' I

.....,

Report Required by the EthicsAOJO FINANCIAL DISCLOSURE REPORT in Government Act of 1978Rev.112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ JOJ.J 11)

1. Ptnon Reportini: (last name, first, middle initial)

Ericksen, Joan N.

2. Court or Oriaaiz.ation

U.S. District Court - Minnesota

3. Date oI Report

05/12/2010

4. Title (Article m judges indiCllle active or senior status; magistrate judges indicate full- or part-time)

U.S. District Judge - Active

5a. Report Type (check appropriate type)

D Nomination. Date

D Initial lll Annual D Final

6. Reporting Period

01/01/2009 to

12/3112009 sb. o Amended Report

7. Chambers or Office Address

l 2W Un ited States Courthouse 300 South Fourth Street Minneapolis, MN 55415

8. On the basis or the information contained In this Report and any modification1 pertaining thereto, it b, In m)' opinion, in compliance with applicable laws and regulations.

Reviewing Off teer Date

IMPORT ANT NO TES: The instructions accompanying this form mus/ be followed. Complete all parts, cheeking the NONE box for each part where you have no reportable information. Sign on lo.st page.

I. POSITJ ONS. (Reporting individ11al only; supp. 9-13 of/Wng instructions.)

D NONE (No reportable positions.)

I. Board of Directors Friends of the Children Foundation

2.

3.

Board

Rules of Evidence Committee

Federal Bar Association

Judicial Conference r-.>

<.n4. Board of Directors Minnesota Lawyer CJ ::-c AJ

(')5. CJ))> ''•'"J

II• AGREEMENTS. (R•porfing individual only; ••e pp. f.1-16 of filing instructions.)

D NONE (No reportable agreements.)

rrin o:t> ..,,., ,

(")f11

J>

_J

·< rn 0

I. 2002

2.

3.

Milll1esota State Judge Retirement Plan - fonner employer - no control

Ericksen, Joan N.

SOURCE AND lYPE

SOURCE AND TYPE

SOURCE DATES LOCATION PURPOSE

INCOME

ITEMS PROVIDED

FINANCIAL DISCLOSURE REPORT

of9

Name of Person Reporling

Ericksen, Joan N.

Dale o!Report

05112!2010

III. N 0 N-INVES TMENT IN CO ME. (Reporting indiviilual tznd spouse; supp. J7-14 of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

I. 2009 Teaching - William Mitchell College of Law

(yours, not spouse's)

$850.00

2. January 09 Teaching - University of St Thomas $9,000.00

3. Fall 2009 Teaching - University of MN Law School $6,000.00

4.

B. Spouse's Non-Investment Income - I/you""'" ma"ied dMring anyportion of the reporting 1ear, complete this section.

(Dollar amount not required except for honoraria.)

[Z] NONE (No reportable non-investment income.)

I.

2.

3.

4.

IV. REIMBURSEMENTS - lrflMportation, lodging, food, entertainmenL

(Includes those to spouse and dependent children; se pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

1.

2.

3.

American Bar Association 04/0112009 Denver, CO Site Evaluation

PAID OR

Transportation, meals, hotel

4.

5.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

4.

Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT

of 9 Ericksen, Joan N. 05/1212010

V. GIFTS. (lndudes tliose to spouu and dependent children; supp. 28-31 of filing lnstrucrions.)

[Z] NONE (No reportable gifts.)

I.

2.

3.

s.

VI. LIABILITIES. (lndudt!S those ofspouu and dqHndent childrm; supp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

I. Countrywide Bank Mortgage N

2.

3.

4.

5.

L

J


of9

Name of Person Rrportin&

Ericksen, Joan N.

Date ol Report

05/1212010

VII. INVESTMENTS and TRUSTS - income, value, transac1ions r1nc1udes rhou of spouse and dependerr1 children;,,. pp. u-60 offilini: insJr•ctions.J

D NONE (No reportable income, assets, or transactions.)

A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div.. rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if pri\·ate

(Q-W) transaction)

I. Minnesota Deferred Comp Plan A Dividend T

2. Minnesota S tate Retirement System - None L T Judges' Retirement Plan

3. Ameriprise Money Market A Int/Div. K T

4. AIM Global Real Estate (AGREX) Sold 10129 J (part)

5. AIM Global Real Estate (AGREX) Sold 08/28 K (part)

6. AIM Global Real Estate: (AGREX) Buy 06/03 J (add'I)

7. AIM Global Real Estate (AGREX) Buy 03/03 J (add'I)

8. AIM Global Real Estate A Dividend K T

9. Credit Suisse Commodity (CRSAX) Sold 12130/09 K

10. Credit Suisse Commodity (CRSAX) Buy 08/28 J (add' I)

11. Credit Suisse Commodity (CRSAX) Buy 06/03 (add'!)

12. Credit Suisse Commodity (CRSAX) Buy 03/03 J (add'I)

13. C rcidt Suisse Commodity (CRSAX) A Dividend J T

14. Fid Adv Emerging Markets (FAMKX) Sold 8/28 K

15. Fid Adv Emerging Markets (FAMKX) Buy 03/03 J (add'I)

16. Franklin MN Insured Tax Free (FMINX) Sold 12130 J (part)

17. Franklin MN Insured Tax Free (FMINX) Buy 09/01 K (add'!)

1. Income Gain Codes: A •Sl,000 or less B =St,001 • $2.500 c -s2.so t - ss.ooo D •SS,001-Sll.OOO E •$1 l.OOI • SS0,000

(Sec Columns DI and 04) F •SS0.001 • S!00.000 G •SI00.001 • Sl.000.000 H1 =S 1,000.00 l • SS,000.000 H2 •Moct lh>o Sl.000,000

2. V>luc Codes J •Sll,000 or le" K -s1s.001 -s.so.ooo L •$50,001- $100,000 M =U00,001 - $250,000 (Sec Columns Cl and OJ) N •$250.001 -$500,000 O •S.I00.001 • Sl,000,000 PI •SI .000.001 • Sl.000,000 P2 •SS,000,001 • Sll.000,000

n -s2s.ooo.001 • SS-0.000.000 P4 •M0tt tbao SS0,000,000 J. Valu< Mclhod Codes Q •Appraisal R •C0>I (Rcat Estate Only} S sAssessment T ...Ca$h Mm-kct

(Sec Column C2) U Dool Value V-Dthcr W•Estimalcd

! I

i

i

'

Dair of Rrpo•t Name of Person Repo•ting FINANCIAL DISCLOSURE REPORT

of9 0511212010Ericksen, Joan N.

Vtl. INVESTMENTS and TRUSTS - income, vatu•, 1ra11sactions r1nc1ut1cs 11wu of spouse and a•p•naen1 chi1t1un;su pp. 34-60 of filing instruction. J


A. B. C. Description of Assets Income during Gross value at end


(!} (2) (1) (2) (I} Place "(X)" after each asset Amount Typc(e.g., Value Value T)'PC (e.g.,

exempt from prior disclosure Code I div., rent., Code2 Method buy, sell, (A-H) or int.) (J-P) Code3 redemption)

(Q-W)

18. Franklin MN Insured Tax Free (FMINX) Sold (part)

19. Franklin MN Insured Tax Free (FMINX) Buy (add'l)

20. Franklin t<.1N Insured Tax Free (FMINX) A Dividend J T

21. RVS High Yield Bond (INEAX) Buy (add'!)

22. RVS High Yield Bond (lNEAX) Sold (part)

23. RVS High Yield Bond (INEAX) Buy (add'l)

24. RVS High Yield Bond (lNEAX) Buy (add'l)

25. RVS High Yield Bond (INEAX) A Dividend 1 T

26. Oppenheimer lnt'l Bond (OIBAX) Buy (add1)

27. Oppenheimer Int'! Bond (OIBAX) Buy (add'l)

28. Oppenheimer lnt'l Bond (OIBAX) Buy (add'l)

29. Oppenheimer lnt'l Bond (OIBAX) A Dividend L T

30. Oppenheimer Roch Nat'l Muni (ORNAX) Sold (part)

31. Oppenheimer Roch Nat'l Muni (ORNAX) Buy (add'l)

32. Oppenheimer Roch Nat'l Muni (ORNAX) A Dividend J T

33. Putnam lnt'l Cap Opp (PNVAX) Sold (pan)

34. Putnam lnt'I Cap Opp (PNV AX) Buy (add'!)

D. Transactions during reporting period

(2) (3) (4) (5) Date Value Gain Identity of

mm/ddlyy Code2 Code I buyer/seller (J-P) (A-H) (if private

transaction)

06/03 J

03/03 J

12130 K

I0/29 1

09/01 J

03/03 J

12/30 J

08128 K

03103 1

12/30 J

03/03 J

08/28 J

03103 J

I. lncomc Gain Codes: A •Sl,000 or Jess B •SI.DOI - 52.500 C •S2.SOt -S5.000 D=S5.00l ·Sl5.000 E =SI s.001 - S5o.ooo (Sec Columns BI ond 04) F•SS0,001-$100.000 G =SI00,001 -$1,000,000 HI •Sl,000.001-Sl.OOO.OOO H2 •More than $5,000.000

2. Value Codes J •SI 5,000 or lcu K -S 15,001 - $50,000 L •$50,001 -SI00,000 M •S 100.001 • $250,000 (Sec Columns CI and DJ) N -s2so.oo 1 - ssoo,ooo o -s500.001 • 11,000.000 Pl •Sl.000.001-Sl,OOO.OOO P2 •SS,000,001 - $25,000,000

PJ •$25.000.001 -$50,000,000 P4 •Mon: than $50,000,000 3. Value Method Codes Q •Appr>isal R =Cost (Real Estate Only) S •Assessment T =Cash. Markee

(See Column C2) U •Book Value V =Other W -=Estimated

I


of9

l'iame of Penon Reporting

Ericksen, Joan N.

Date of Report

05/12/2010

VIJ, INVESTMENTS ·and TRUSTS - income, value, transactions (Includes thou of spouse anJ deparJart chi/drtff; supp. 34-60 of filing instructions.)


A. B. c. D.

De•cription of Assets Income during Gro>S value at end Transactions during reporting period


(l) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type(e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code l div.• rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int) (J-P) Code 3 redemption} (l-P) (A-H} (if private

(Q-W) transaction)

35. Putnam Int'l Cap Opp (PNV AX) A Dividend J T

36. Vanguard Mid Cap Value (VOE) Sold 12/30 J (part)

37. Vanguard Mid Cap Value (VOE) Sold 08/28 J (part)

38. Vanguard Mid Cap Value (VOE) Buy 03/03 J (add'!)

39. Vanguard Mid Cap Value (VOE) A Dividend J T

40. Vanguard Mid Cap Growth (Von Sold 08128 J (part)

4 I. Vanguard Mid Cap Growth (Von Buy 06/03 J (add'!)

42. Vanguard Mid Cap Growth (Von Buy 03/03 J (add'!)

43. Vanguard Mid Cap Growth (Von A Dividend J T

44. Vanguard Growth (VUG) Sold 12130 J (part)

45. Vanguard Growth (VUG) Sold 08/28 J (part)

46. Vanguard Growth (VUG) Buy 03/03 J (add'I)

47. Vanguard Growth (VUG) A Dividend J T

48. RivcrSourcc US Govt (RFGXX) Sold 01/16 L

49. Fid Adv 529 2010 C K T Buy 06123 J (add'l)

50. Pimco Commodity Real Return (PCRAX) Buy 12/31 K

51. Franklin High Yield Tax Free Income Buy 10/29 J (FRHIX) (add'!)

I. Income Gain Codes: A •Sl,000 or lm B =Sl,OOJ -$2,500 c •$2,501 • ss.ooo 0 ·$5,001. St5,000 E •$15,00 l • SJ0.000

(Sec C lumns Bl and !:>4) F •SS0,00 I - SI 00,000 G •$100.001 - St ,000,000 Ill •Sl.000,001 - $5,000,000 JU =More than $5,000,000

2. Value Codes J •$15,000 or less K 415,001 - $50,000 L •S50,001 - SI00.000 M =S 100,001 • $250,000

(Sec Columns Cl >nd OJ) N •$250,001 • $500,000 0 •SS00,001 - SJ .000,000 Pl =Sl.000,001 - $5,000,000 P2 =S5,000,00t -$25,000,000

PJ •$25,000,001 • $50,000.000 P4 =More than $50.000.000 3. Value Method Codts Q •Approi'"t R -COst (Real Es,.te Only) S sAs'SC'SSmcnt T-Cash Market

(Sec Cr>lumn C2) U ::Bool'. Value V ..Qdier W ozEstimated

!

I

J

A.

(2)

(Q-W)

(2)


of9

Name of Person Reporting

Ericksen, Joan N.

Date of Report

05/12/2010

VII. INVESTMENTS and TRUSTS -income, value, mmsacrions r1nc1udesrhou ofspouu and dependent children;.,, pp. 14-60 offilinc ;,,.,,.ctions.J


De>eription of Assets

D.B. c. Transactions during reporting periodGross value at endIncome during

ofreportiag period reporting period(including trust assets)

(2) (I)(I) (I) (3) (4) (5) GainValue Identity ofValueValue Type (e.g., DateAmountPlace "(X)" after each asset Typc(c.g.,

Code I Code I buyer/sellerCode2Code 2 Method buy, sell, mrn/dd/yyjdiv., renexempt from prior disclosure (A-H) (if privateredemption)or int.) CodcJ (A-H)(J-P) (J-P)

cransaction)

52. Franklin High Yield Tax Free Income (FRHIX)

Buy 08/28

53. Franklin High Yield Tax Free Income (FRHIX)

A Dividend K T

54. Vanguard Value (VTV} Buy (add'I)

06/03 J

55. Vanguard Value (VTV) Buy (add'!)

12130 J

56. Vanguard Value (VTV) A Dividend J T

57. iSharcs iBoxx Investment Grade Corp (LQD)

Buy 12130 J

58. iShares Barclays TIPS (TIP) Buy 12/30 J

59. Oppenheimer Main Street Sm Cap (OPMSX)

Buy 12/30 J

60.

t. Jncome Gain Codl!s: A •S.1,000 or lest B •Sl,001 • $2.500 C •$2.501. SS,000 D •SS,001 -$15,000 E -$15,001 -$50,000 {Sec Columns Bl and D4) F •$50.00l • SI 00.000 G•SlOO.OOl ·Sl.000,000 HI •Sl ,000,001 • $5,000.000 H2 =More than $5 .000.000

2. Value Codes J •St5,000 odess K •SIS,001 - $50,000 L •$50.001-$100.000 M •$100.001-$250,000

(Sec Colwnns Cl and 03) N •$250.001 -$500.000 0 =5500,001 -Sl,000.000 PI =Sl.000.001-$5,000,000 P2 •$5,000,001 -$25,000.000

P3 =$25,000,00 I - $50,000,000 P4 •More than $50.000,000 3. Value Melhod Codes Q•Appraisal R -.Cost (Real Esiato Only) S >=Asscumcnr T -Cash Mark.ct

(Sec Column C2) U aBook: ValuC' V --Other W '£Estimated

Name of Person Reporting Dale of Report FINANCIAL DISCLOSURE REPORT

of9 Erick!en, Joan N. 05/12/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/Repor1.)

___ --;

Date or ReportNamt of Person Rt portingFINANCIAL DISCLOSURE REPORT

of9 0511212010Ericksen, Joan N.

IX. CERTIFICATION.

J 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 bonoraria 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 Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (S 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. Washington, D.C. 20544

6. repoting period d ll d o...aim global real estat: (agrex) buy 06/03 j (add'i) 7. aim global...

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