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Judicial Watch • Joan N Ericksen Financial Disclosure Report for 2008

Joan N Ericksen Financial Disclosure Report for 2008

Joan N Ericksen Financial Disclosure Report for 2008

Page 1: Joan N Ericksen Financial Disclosure Report for 2008

Category:Financial Disclosure

Number of Pages:19

Date Created:October 28, 2009

Date Uploaded to the Library:November 13, 2013

Tags:Ericksen, Joan N Ericksen, vanguard, Estate, Market, 2008, INVESTMENTS, transactions, TRUSTS, dividend, Financial Disclosure, ICE, CIA, income, Judge


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Ericksen_Joan_N PQSJTI NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
Board Directors 
Board Federal Bar Association 
Rules Evidence Committee Judicial Conference 
2002 

III. N-JNVESTMENT ME. (Reporting indivUJua/ and spouse; see pp. 17-U filing instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) 

SOURCE AND TYPE INCOME 
(yours, not spouse's) 1.2008 Teaching -William Mitchell College Law $850.00 Spouse's Non-Investment Income -If you were marrkd during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) 
[ZJ NONE (No reportable non-investment income.) 

AND TYPE 

IV. REIMBURSEMENTS -transportation, lodging,food, entertainment 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED GIFTS. (Includes those spouse and dependent children; see pp. 18-31 filing instructions.) NONE (No reportable gifts.) 
DESCRIPTION Minneapolis Club Honorary Membership 
$25.00 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) 

DESCRIPTION Countrywide Bank Mortgage 

VII. INVESTMENTS and -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

VII. INVESTMENTS and STS -income, va/11e, tronsactions (lnc/11des those spouse ond dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets. transactions.) Income GaiD Codes: =Sl.000 less =$1,001  $2,500 =$2,501 -$5,000 =$5,001 -$15,000 =SU,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -Sl,000,000 =Sl,000,001  $5,000.000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =S50;00 00,000 =$100,001 -$250,000  
(See Columns and DJ) =$250,001 -$500,000 =S500,001 -s1.ooo.ooo =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes  Q=Appraisal =Cost (Real Estate Only)  S=Assessment =Cash Market  
(See Column C2)  U=BookYaluc =Other =Estimated  

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

VII. INVESTMENTS and TRUSTS -income. value, transactions (lndudes those spouse and dependent children; see PP 14-60 offuing instructions.) NONE (No reportable income, assets, transactions.) Income Gain Codes: =Sl,000 less =Sl,OOI  S2,500 =$2,501  $5,000 =S5,001  $15,000 (See Columns D4) =S50,00I  SI00,000 =SI00,001  SI,000.000 =Sl,000,001 -S5,000,000 =More than $5,000,000 Valu Codes l5, 000 less =Sl5,00I  $50,000 =$50,001  S!00,000 =S!00,001 -S250,000 
(Stt Columns and DJ) =$250,001 -$500,000 =$500,001  ,000,000 =Sl,000,001 -$5,000,000 =S5,ooo,001  s25,ooo,ooo =S25,000,00I -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessmen T=Casb Marl:c:t (See Column C2) =Book Value =Other =Estimated 

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

IX. CERTIFICATION. certify that all information given abon (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions of5 U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations:._. 

Signature 
AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 

Ericksen, Joan_N 

Ill. NON-INVESTMENT COME. (Reporting individual and spouse; see pp. 7-24 filing instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME 
(yours, not spouse's) 2008 Teaching -William Mitchell College Law $850.00 Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[ZJ NONE (No reportable non-investment income.) 

SOURCE AND TYPE 
IV, REIMBURSEMENTS -transportation, lodging, food, entertainment 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
Transportation and meals 

Date Report 
Name Person Reporting 

05/04/2009
Ericksen, Joan GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.)  
VALUE Minneapolis Club  Honorary Membership  $25.00 

VALUE CODE 

Date Report 
Name Person Reporting 
05/04/2009
Ericksen, Joan 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see pp. 34-60 filing instructions.J NONE (No reportable income, assets, transactions.)  
Description ofAssets  Income during  Gross value end  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 (A-H)  Type (e.g., div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Minnesota Deferred Comp Plan  Dividend  Minnesota State Retirement System -Judges Retirement Plan  None 
Ameriprise Money Market Int./Div. 
Oppenheimer Developing Markets (ODMA 

Type (e.g., buy, sell, redemption) 
Buy 
Date 
Month Day 

12/8 
Gain 
Identity Code2 Value 
buyer/seller (J-P) Code (ifprivate transaction) (A-H) 
AIM Global Real Estate (AGREX) 
Buy AIM Global Real Estate (AGREX)
6/3
Buy 
(add'!) 
AIM Global Reas Estate (AGREX) 
Buy (add'!)  AIM Global Real Estate (AGREX)  AIM Global Real Estate (AGREX)  Dividend  
JO.  Credit Suisse Commodity (CRSAX)  
11.  Credit Suisse Commodity (CRSAX)  
12.  Credit Suisse Commodity (CRSAX)  
13.  Creidt Suisse Commodity (CRSAX)  Dividend  
14.  Fid Adv Emerging Markets AMKX)  
15.  Fid Adv Emerging Markets AMKX)  
16.  Fid Adv Emerging Markets AMKX)  
17.  Fid Adv Emerging Markets 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 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501  $5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,001  $100,000 =$100,00I -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$!00,000 =$!00,001 -$250,000  
(See Columns and 03) =$250,001  $500,000 =$500,00 ,000,000 41,000,001-$5,000,000 45,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment  T=Cash Market  
(See Column C2) =Book Value =Otber =Estimated  

05/04/2009
Ericksen, Joan 

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) lncome Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 15,00 -$50,000  
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,00 -$50,000 =$50,001 I00,000 I00,00 -$250,000  
(See Columns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000.000 =$5.000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
Name Person Reporting 
0510412009
Ericksen, Joan 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent c/Jildren; see pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(1) 
(2) 
(3) 
(4)
(1) 
(I) 
(5)
(2) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  
exempt from prior disclosure  Code  div., rent,  Code  Method  
(A-H) int.)  (J-P)  Code  
(Q-W)  

Type (e.g., buy, sell, redemption) 
Date 
Month-
Day 

Identity Code Value Gain 
buyer/seller (J-P) Code 
(if private transaction) (A-H) 
35. Oppenheimer Roch Nat'! Muni (ORNAX) Buy 
(add'!) 
36. Oppenheimer Roch Nat'! Muni (ORNAX) Buy 12/4 
(add'!) 
37. 
Oppenheimer Roch Nat'! Muni (ORNAX) Dividend 

38. 
Putnam Int'! Cap Opp (PNVAX) Buy 3/5 
Putnam Int'! Cap Opp (PNV AX) Buy 614 
(add'!) 
40. Putnam Int'! Cap Opp (PNV AX) Buy 
(add'!) 
41. Putnam Int'! Cap Opp (PNV AX) Buy 12/4 
(add'!) 
42. Putnam Int'! Cap Opp (PNV AX) Dividend 
Vanguard Mid Cap Value (VOE)  Buy  3/7  
Vanguard Mid Cap Value (VOE)  Buy  616  
(add'!)  

Vanguard Mid Cap Value (VOE) Buy (add'!) 
46. Vanguard Mid Cap Value (VOE) Buy 12/8 
(add'!) 
47. Vanguard Mid Cap Value (VOE) Dividend 
Vanguard Mid Cap Growth (VOT) Buy 
Vanguard Mid Cap Growth (VOT) Buy 6/6 
(add'!) 
50.  Vanguard Mid Cap Growth (VOT)  Buy (add'!)  9/8  
51.  Vanguard Mid Cap Growth (VOT)  Buy (add'!)  12/8 Income Gain Codes: (See Cohunos and D4) Value Codes {See Columns and D3) Value Method Codes {See Column C2) =$1,000 less =$50,001  $100,000 =$15,000 less =$250,001  $500,000 =$25,000,001  $50,000,000 =Appraisal =Book Value =$1,001  $2,500 =Sl00,001  $1,000,000 =$15,001  $50,000 0=$500,001-$1,000,000 =Cost {Real Estate Only) =-Other =$2,501 $5,000 =$1,000,001  $5,000,000 =$50,001  $100,000 =$1,000,001-$5,000,000 =More than $50,000,000 =Assessment W=Estimatcd =$5,001 -$15,000 =More than $5,000,000 =$100,001  $250,000 =$5,000,001  $25,000,000 =Cash Market =$15,001 -$50,000  

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those spouse and dependent cllitdren; see pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Income Gain Codes: =$1,000 less =Sl,001 $2,500 =$2,501  $5,000 =$5,001  $15,000 =$15-,001 -$50,000  
(See Columns and 04) =$50.001  $100,000 =$100,001. $1,000.000 =$1,000,001  $5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001-$50,000 =$50,001. $100,000 =$100,00 -$250,000  
(See Columns and D3) =$250,001 -$500,000  0=$500,001-Sl ,OOO,OOO =$1,000,001  $5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other  W=Estimated  

VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofReport.) 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544



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