Ericksen Joan N - Judicial Watch · Eicksen, Joan N. Date of Reot 05/04/2009 II. NVESTENTS and TR us TS -income, value, rasacions (Includes those of spouse and depenent children;

Ericksen_Joan_N

0 D

POSITION ORGANIZATION/ENTITY

....,, 0

C>

'AO io Rev. /llOo

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2008

I. Person Reporting (last name, first, middle initial) 2. Court or Organization

Ericksen, Joan N. U.S. District Court - Minnesota

4. Title (Article III judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)

D Nomination, Date

U.S. District Judge - Active D Initial Annual

Sb. D Amended Report

Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C app. §§ 101-111)

3. Date of Report

05/04/2009

6. Reporting Period

01/01/2008 to

12/31/2008

7. Chamben or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance

12W United States Courthouse with applicable laws and regulations.

300 South Fourth Street Minneapolis, MN 55415

Reviewing Officer Date

IMPORT ANT NOTES: The 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. PQSJTI 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

1. Board of Directors

NAME OF

Friends of the Children Foundation

2. Board Federal Bar Association

3. Rules of Evidence Committee Judicial Conference

5.

0

1. 2002

2.

3.

4.

JI. AGREEMENTS. (Reporting individual only; see pp. U-16 of filing instructions.)

NONE (No reportable agreements.)

PARTIES AND TERMS

Minnesota State Judge Retirement Plan - former employer - no control

C::J U> n , ....,,c.-:>:-(/)z cJ::> :;;;J::Zrri ol>-rir

,._, = C:>...0

<-

rnc r-N () _J ;11

l> < rn 0

SOURCE

I . American Bar Association I 1/15/2008 Rosemont, IL Site Evaluators Workshop Transportation and meals

·FINANCIAL DISCLOSURE REPORT

Page 2 of9

Name of Penon Reporting

Ericksen, Joan N.

Date of Report

05/04/2009

III. N 0 N-JNVESTMENT JN CO ME. (Reporting indivUJua/ and spouse; see pp. 17-U of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

4.

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

1.2008 Teaching - William Mitchell College of Law $850.00

2.

3.

B. Spouse's Non-Investment Income - If you were marrkd during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

[ZJ NONE (No reportable non-investment income.)

AND TYPE

I.

2.

3.

4.

IV. REIMBURSEMENTS -transportation, lodging,food, entertainment

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

0 NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

2.

3.

4.

5.

CREDITOR

VALUE

CODE

SOURCE

· FINANCIAL DISCLOSURE REPORT

Page 3 of9


Ericksen, Joan N.

Date of Report

05/04/2009

V. GIFTS. (Includes those to spouse and dependent children; see pp. 18-31 of filing instructions.)

D NONE (No reportable gifts.)

DESCRIPTION

I. Minneapolis Club Honorary Membership $25.00

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

DESCRIPTION VALUE

I. Countrywide Bank Mortgage N

2.

3.

4.

5.

FINANCIAL DISCLOSURE REPORT

Page 4 of9

Name of Person Reporting

Ericksen, Joan N.

Date of Report

05/04/2009

VII. INVESTMENTS and TR us TS - income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)

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

A. B. c. D.

Descri ption of Assets Income during Gross value at end of Tra ns actions during reporting period

(inclu ding trus t asse ts) reporti ng pe riod repor ting period

(I) (2) (I) (2) (I) (2) (3) (4) (5)

Pl ace "(X)" after each asset A mou nt Type(e.g., Value Value Type(e.g., Date Value G ain I dentity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, seU, Month - Code2 Code I buyer/seller (A-H) or int .) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

) . Minnesota Deferred Comp Plan B Dividend L T

2. Minnesota State-R'etirement System - Judges ·. None L T ' Retirement Plan

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

4. Oppenheimer Developing Markets (ODMA Buy 12/8 J X)

5. AIM Global Real Estate (AGREX) Buy 3/5 J

6. AIM Global Real Estate (AGREX) Buy 6/3 J (add'!)

7. AIM Global Reas Estate (AGREX) Buy 9/3 1 (add'!)

8. AIM Global Real Estate (AGREX) Buy 12/3 J (add'!)

9. AIM Global Real Estate (AGREX) A Dividend K T

10. Credit Suisse Commodity (CRSAX) Buy 6/3 J

I I. Credit Suisse Commodity (CRSAX) Buy 913 J (add'!)

12. Credit Suisse Commodity (CRSAX) Buy 12/3 J (add'!)

13. Creidt Suisse Commodity (CRSAX) A Dividend J T

14. Fid Adv Emerging Markets (F AMKX) Buy 3/5 J

15. Fid Adv Emerging Markets (FAMKX) Buy 6/3 J (add'!)

16. Fid Adv Emerging Markets (F AMKX) Buy 913 J (add'I)

17. Fid Adv Emerging Markets (F AMKX) Buy 12/3 J (add'I)

I. Income Gain Codes: A =St,000 or le<s B =St,001 - $2,500 c =S2,m - S5,ooo D =$5,001 • $15,000 E =$15,001 · $50,000

(See Columns BI and D4) F =$50,001 • SI00,000 G =SI00.001 -Sl,000,000 HI =Sl,000,001 · S5.000,000 H2 =More than $5,000,000

2. Value Codes J =Sl5,000 or Im K =Sl5,00l -S50,000 L =$50,001 • SI00,000 M =SI00,001 - $250,000 (See Columns Cl and 03) N =S250,001 • $500,000 0 =S500,00I • $1,000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 · $25,000,000

P3 =S25,000,00I - $50,000,000 P4 =More than $50,000,000

3.Value Method Code< Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U=BookValue V =Other W =Estimated

-


Page 5 of9

Name of Penoo Reporting

Ericksen, Joan N.

Date of Report

0510412009

VII. INVESTMENTS and TR u STS - income, va/11e, tronsactions (lnc/11des those of spouse ond dependent children; see PP· 34-60 of filing instructions.)

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

A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

( I ) (2) (1) (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, seU, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

18. Fid Adv Emerging Markets (F AMKX) Sold 12/8 J (part)

19. Fid Adv Emerging Markets (F AMKX) A Dividend J T

20. Franklin MN Insured Tax Free (FMINX) Buy 3/5 J

21. Franklin MN Insured Tax Free (FMINX) Buy 614 J (add'I)

22. Franklin MN Insured Tax Free (FMINX) Buy 914 J (add'I)

23. Franklin MN Insured Tax Free (FMINX) Buy 1214 J (add'!)

24. Franklin MN Insured Tax Free (FMINX) A Dividend J T

25. RVS High Yield Bond (INEAX) Buy 6/3 J

26. RVS High Yield Bond (INEAX) Buy 9/3 J (add'!)

27. RVS High Yield Bond (INEAX) Buy 1213 J (add'I)

28. RVS High Yield Bond (INEAX) A Dividend J T

29. Oppenheimer Int'I Bond (OIBAX) Buy 614 J

30. Oppenheimer Int'I Bond (OIBAX) Buy 914 J {add'!)

31. Oppenheimer lnt'I Bond (OIBAX) Buy 1214 J (add'I)

32. Oppenheimer Int') Bond (OIBAX) A Dividend 1 T

33. Oppenheimer Roch Nat'I Muni (ORNAX) Buy 3/5 J

34. Oppenheimer Roch Nat'I Muni (ORNAX) Buy 614 J (add'I)

I. Income GaiD Codes: A =Sl.000 or less B =$1,001 · $2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =SU,001 - $50,000

(See Columns Bl and D4) f =$50,001 - $100,000 G =$100,001 - Sl,000,000 HI =Sl,000,001 · $5,000.000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =S50;00 l - S l 00,000 M =$100,001 - $250,000

(See Columns Cl and DJ) N =$250,001 -$500,000 o =S500,001 - s1.ooo.ooo Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S=Assessment T =Cash Market

(See Column C2) U=BookYaluc Y =Other W =Estimated

1

-·

. FINANCIAL DISCLOSURE REPORT

Page 6 of9


Ericksen, Joan N.

Date of Report

05/04/2009

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D.



(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, Month - Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P} (A-H} (if private

(Q-W) transaction)

35. Oppenheimer Roch Nat'! Muni (ORNAX) Buy 914 (add'!)

36. Oppenheimer Roch Nat'! Muni (ORNAX) Buy 1214 J (add'!)

37. Oppenheimer Roch Nat'] Muni (ORNAX) A Dividend J T

38. Putnam Int'J Cap Opp (PNV AX) Buy 315 J

39. Putnam Int'! Cap Opp (PNV AX) Buy 614 J (add'!)

40. Putnam Int'] Cap Opp (PNV AX) Buy 914 J (add'!)

41. Putnam Int'! Cap Opp (PNV AX) Buy 1214 J (add'!)

42. Putnam Int'! Cap Opp (PNV AX) A Dividend J T

43. Vanguard Mid Cap Value (VOE) Buy 317 J

44. Vanguard Mid Cap Value (VOE) Buy 616 J (add'!)

45. Vanguard Mid Cap Value (VOE) Buy 9/8 J (add'!)

46. Vanguard Mid Cap Value (VOE) Buy 1218 J (add'!)

47. Vanguard Mid Cap Value (VOE) A Dividend K T

48. Vanguard Mid Cap Growth (VOT) Buy 317 J

49. Vanguard Mid Cap Growth (VOT) Buy 616 J (add'!)

50. Vanguard Mid Cap Growth (VOT) Buy 918 J (add'!)

51. Vanguard Mid Cap Growth (Von Buy 12/8 J (add'!)

I. Income Gait> Codes: A =$1,000 or less B =Sl.001 -$2,SOO C =$2,.SOI -$5,000 D =$5,001 - $15,000 E =SIS,001 -$.S0,000

(Sec ColWDDs BI and D4) F =$50,001 - $100,000 G =$100,001 -Sl,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Va lue Codes J =SI 5.000 orless K =$15,001 - $50,000 L =$50,001 -SI00,000 M =SI00,001 - $250,000

(Sec Columns CJ and 03) N =$250,001 '$500,000 0 =$500,001-Sl,OOO,OOO Pl =SJ,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 - $50,000,000 . P4 =More than $50,000,000

3. Value Method Codes Q=Appraisal R =Cosi.(Real Estate Only) S =Assessment T =Cash Market

(Sec ColUIDD C2) U =Book Value V =Other W =Estimated


.Page 7 of9


Ericksen, Joan N.

Dale of Report

0510412009

VII. INVESTMENTS and TRUSTS -income. value, transactions (lndudes those of spouse and dependent children; see PP· 14-60 offuing instructions.)


A.

Description of Assets

(including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

52. Vanguard Mid Cap Growth (VOT)

53. Vanguard Growth (VUG)





58. RiverSource US Govt (RFGXX)

59. Fid Adv 529 2010 C (X)

60. Oppenheimer Int'! Bond (OIBAX)

61. Oppenheimer Int'! Bond (OIBAX)

62. RVS High Yield Bond (INEAX)

63. RVS High Yield Bond (INEAX)

64. Credit Suisse Commodity (CRSAX)




B. c.

Income during Gross value at end of

reporting period reporting period

(I) (2) (I) (2) (I) Amount J'ype (e.g., Value Value Type (e.g., Code I div., rent, Code 2 Method buy, sell, (A-H) or.int.) (J-P) Code 3 redemption)

(Q-W)

A Dividend J T

Buy

Buy (add'!)

Buy (add'!)

Buy (add'l)

A Dividend K T

Sold

K T

Buy

A Dividend J T

Buy

A Dividend J T

Buy

A Dividend J T

Buy

Sold (part)

D.

Transactions during reporting period

(2) (3) (4) Dale Value Gain

Month- Code2 Code I Day (J-P) (A-H)

3/7 J

616 J

9/8 J

12/8 J

11/13 K

3/6 J

3/6 J

3/6 J

9/18 J

I 1/13 J

(5) Identity of

buyer/seller

(if private

transaction)

-· .•.

I. Income Gain Codes: A =Sl,000 or less B =Sl,OOI • S2,500 c =$2,501 • $5,000 D =S5,001 • $15,000

(See Columns BI an d D4) F =S50,00I · SI00,000 G =SI00,001 • SI,000.000 HI =Sl,000,001 -S5,000,000 H2 =More than $5,000,000

2. Valu e Codes J =S l5, 000 or less K =Sl5,00I • $50,000 L =$50,001 • S!00,000 M =S!00,001 -S250,000 (Stt Columns CI and DJ) N =$250,001 - $500,000 0 =$500,001 • SI ,000,000 Pl =Sl,000,001 -$5,000,000 n =S5,ooo,001 • s25,ooo,ooo

P3 =S25,000,00I - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessmen t T=Casb Marl:c:t

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

E =Sl5,00I -$50,000

'FINANCIAL DISCLOSURE REPORT

Page 8 of9


Ericksen, Joan N.

Date of Report

05/04/2009

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate parto/ReporL)

_____ ,

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

' FINANCIAL DISCLOSURE REPORT

Page 9 of9

Name of Person Reporting Date of Report

Ericksen, Joan N. 0510412009

IX. CERTIFICATION.

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

l 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 of5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations:. _.

.

Signature

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. Washington, D.C. 20544

Ericksen, Joan_N


Page 2 of9


Ericksen, Joan N.

Date of Report

05/04/2009

Ill. NON-INVESTMENT IN COME. (Reporting individual and spouse; see pp. J 7-24 of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME

(yours, not spouse's)

I. 2008 Teaching - William Mitchell College of Law $850.00

2.

3.

4.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

[ZJ NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

2.

3.

4.

IV, REIMBURSEMENTS - transportation, lodging, food, entertainment

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

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

Transportation and meals 1. American Bar Association 11/15/2008 Rosemont, IL Site Evaluators Workshop

SOURCE DESCRIPTION

4.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3 of9 05/04/2009Ericksen, Joan N.

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

VALUE

I. Minneapolis Club Honorary Membership $25.00

D NONE (No reportable gifts.)

2.

3.

4.

5.

VJ, LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

I. Countrywide Bank Mortgage

VALUE CODE

N

2.

3.

5.

(I) (I) (3) (4)

315

9/3


Page 4 of9 05/04/2009Ericksen, Joan N.

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see pp. 34-60 of filing instructions.J


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

(including trust assets) reporting period report_ing period

(5)(I) (2) (2) (2) Place "(X)" after each asset

exempt from prior disclosure Amount Code I (A-H)

Type (e.g., div., rent,

or int.)

Value Code 2

(J-P)

Value Method Code 3 (Q-W)

I. Minnesota Deferred Comp Plan B Dividend L T

2. Minnesota State Retirement System - Judges ' Retirement Plan

None L T

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

4. Oppenheimer Developing Markets (ODMA X)

Type (e.g., buy, sell,

redemption)

Buy

Date Month -

Day

12/8

Gain Identity of Code2 Value

buyer/seller (J-P)

Code I (ifprivate

transaction) (A-H)

J

5. AIM Global Real Estate (AGREX) Buy J

6. AIM Global Real Estate (AGREX) J6/3Buy (add'!)

7. AIM Global Reas Estate (AGREX) Buy (add'!)

J

8. AIM Global Real Estate (AGREX)

9. AIM Global Real Estate (AGREX) A Dividend K T

JO. Credit Suisse Commodity (CRSAX)



13. Creidt Suisse Commodity (CRSAX) A Dividend J T

14. Fid Adv Emerging Markets (F AMKX)




Buy (add'l)

Buy

Buy (add'!)

Buy (add'!)

Buy

Buy (add'!)

Buy (add'!)

Buy (add'!)

12/3

6/3

9/3

12/3

315

6/3

9/3

12/3

J

J

J

J

J

J

J

J

I. Income Gain Codes: A =$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 Bl and 04) F =$50,001 • $100,000 G =$100,00I - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 - $!00,000 M =$!00,001 - $250,000

(See Columns Cl and 03) N =$250,001 • $500,000 0 =$500,00 I - S l ,000,000 Pl 41,000,001-$5,000,000 P2 45,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market

(See Column C2) U =Book Value V =Otber W =Estimated

05/04/2009Ericksen, Joan N. Page 5 of9

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D.



(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, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

18. Fid Adv Emerging Markets (F AMKX) Sold 12/8 J (part)

19. Fid Adv Emerging Markets (FAMKX) A Dividend J T

20. Franklin MN Insured Tax Free (FMINX) Buy 3/5 J



23. Franklin MN Insured Tax Free (FMINX) Buy 12/4 J (add'!)

24. Franklin MN Insured Tax Free (FMINX) A Dividend J T

25. RVS High Yield Bond (INEAX) Buy 6/3 J




29. Oppenheimer Int'! Bond (OIBAX) Buy 614 J

30. Oppenheimer Int'! Bond (OIBAX) Buy 914 J (add'I)

31. Oppenheimer Int'! Bond (OIBAX) Buy 12/4 J (add'!)

32. Oppenheimer Int'! Bond (OIBAX) A Dividend J T

33. Oppenheimer Roch Nat'! Muni (ORNAX) Buy 3/5 J

34. Oppenheimer Roch Nat'! Muni (ORNAX) Buy 614 J (add'!)

I. lncome Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =S 15,00 I - $50,000

(See Columns 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. Value Codes J =$15,000 or less K =$15,00 I -$50,000 L =$50,001 - S I00,000 M =$ I00,00 I - $250,000

(See Columns Cl and 03) 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

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

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

(2)

914

39.

914

43.

44.

45. 9/8

48. 317

49.


Page 6 of9 0510412009Ericksen, Joan N.

VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent c/Jildren; see pp. 34-60 of filing instructions.) -


A. B. c. D.



(1) (2) (3) (4)(1) (I) (5)(2)

Place "(X)" after each asset Amount Type (e.g., Value Value

exempt from prior disclosure Code l div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Date

Month-

Day

Identity of

Code 2

Value Gain

buyer/seller

(J-P)

Code 1 (if private

transaction)

(A-H)

35. Oppenheimer Roch Nat'! Muni (ORNAX) Buy J (add'!)

36. Oppenheimer Roch Nat'! Muni (ORNAX) Buy 12/4 J (add'!)

37. Oppenheimer Roch Nat'! Muni (ORNAX) A Dividend J T

38. Putnam Int'! Cap Opp (PNVAX) Buy 3/5 J

Putnam Int'! Cap Opp (PNV AX) Buy 614 J (add'!)

40. Putnam Int'! Cap Opp (PNV AX) Buy J (add'!)

41. Putnam Int'! Cap Opp (PNV AX) Buy 12/4 J (add'!)

42. Putnam Int'! Cap Opp (PNV AX) A Dividend J T

Vanguard Mid Cap Value (VOE) Buy 3/7 J

Vanguard Mid Cap Value (VOE) Buy 616 J (add'!)

Vanguard Mid Cap Value (VOE) Buy (add'!)

J

46. Vanguard Mid Cap Value (VOE) Buy 12/8 J (add'!)

47. Vanguard Mid Cap Value (VOE) A Dividend K T

Vanguard Mid Cap Growth (VOT) Buy J

Vanguard Mid Cap Growth (VOT) Buy 6/6 J (add'!)

50. Vanguard Mid Cap Growth (VOT) Buy (add'!)

9/8 J

51. Vanguard Mid Cap Growth (VOT) Buy (add'!)

12/8 J

I. Income Gain Codes:

(See Cohunos B1 and D4)

2. Value Codes

{See Columns Cl and D3)

3. Value Method Codes

{See Column C2)

A =$1,000 or less

F =$50,001 · $100,000

J =$15,000 or less

N =$250,001 · $500,000

P3 =$25,000,001 · $50,000,000

Q =Appraisal

U =Book Value

B =$1,001 • $2,500 G =Sl00,001 · $1,000,000

K =$15,001 • $50,000

0=$500,001-$1,000,000

R =Cost {Real Estate Only)

V =-Other

c =$2,501 . $5,000 HI =$1,000,001 · $5,000,000

L =$50,001 • $100,000

Pl =$1,000,001-$5,000,000

P4 =More than $50,000,000

S =Assessment

W=Estimatcd

D =$5,001 - $15,000 H2 =More than $5,000,000

M =$100,001 · $250,000

P2 =$5,000,001 · $25,000,000

T =Cash Market

E =$15,001 - $50,000

i.


Page 7 of9


Ericksen, Joan N.

Date of Report

0510412009

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those of spouse and dependent cllitdren; see pp. 34-60 of filing instructions.) -

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

A. B. c.

Description of Assets Income during Gross value at end of


(I) (2) (I) (2) (I)

Place "(X)'" after each asset Amount Type (e.g., Value Value Type (e.g.,

exempt from prior disclosure Code 1 div., rent, Code2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)

(Q-W)

52. Vanguard Mid Cap Growth (VOT) A Dividend J T

53. Vanguard Growth (VUG) Buy

54. Vanguard Growth (VUG) Buy (add'!)



57. Vanguard Growth (VUG) A Dividend K T

58. RiverSource US Govt (RFGXX) Sold

59. Fid Adv 529 2010 C K T

60. Oppenheimer Int'! Bond (OIBAX) Buy

61. Oppenheimer Int'! Bond (OIBAX) A Dividend J T

62. RVS High Yield Bond (INEAX) Buy


64. Credit Suisse Commodity (CRSAX) Buy

65. Credit Suisse Commodity (CRSAX) A Dividend J T

66. RiverSource US Govt (RFGXX) Buy

67. RiverSource US Govt (RFGXX) Sold (part)

D.

Transactions during reporting period

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

Month - Code 2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

317 J

616 J

9/8 J

12/8 J

11/13 K

3/6 J

3/6 J

3/6 J

9/18 J

11/13 J

I. Income Gain Codes: A =$1,000 or less B =Sl,001 - $2,500 c =$2,501 • $5,000 D =$5,001 • $15,000 E =$15-,001 - $50,000 (See Columns Bl and 04) F =$50.001 • $100,000 G =$100,001. $1,000.000 Hl =$1,000,001 • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001-$50,000 L =$50,001. $100,000 M =$100,00 l -$250,000

(See Columns Cl and D3) N =$250,001 - $500,000 0=$500,001-Sl ,OOO,OOO Pl =$1,000,001 • $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

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


Page 8 of9


Ericksen, Joan N.

Date of Report

05/04/2009

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofReport.)

___ _


Page 9 of9

Name of Person Reporting Date of Report

Ericksen, Joan N. 05/04/2009

IX. CERTIFICATION.

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 Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MA Y 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. Washington, D.C. 20544

Documents

Ericksen Joan N - Judicial Watch · Eicksen, Joan N. Date of Reot 05/04/2009 II. NVESTENTS and TR us TS -income, value, rasacions (Includes those of spouse and depenent children;