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Judicial Watch • Ralph R Erickson Financial Disclosure Report for 2009

Ralph R Erickson Financial Disclosure Report for 2009

Ralph R Erickson Financial Disclosure Report for 2009

Page 1: Ralph R Erickson Financial Disclosure Report for 2009

Category:Financial Disclosure

Number of Pages:10

Date Created:November 10, 2013

Date Uploaded to the Library:November 13, 2013

Tags:alerus, Buffalo, Ralph R Erickson, liquidated, Federated, Prime, Ralph, Small, account, 2009, INVESTMENTS, TRUSTS, dividend, Financial Disclosure, ICE, CIA, Judge


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Report Required bl the Ethics

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Re,,. 1/20J0 FOR CALENDAR YEAR 2009 u.s.c, app. ~ C~urt Organization Date Report1. Perk.on Reporting (last name. ftr~, middle mitiM) 05I 10/2010
District North Dakota
Ericksot~ Ralph Reporting Period 

5a. Report Type (check appropriate type)4. Title (Article I11 judges indicate active senior statu~; 

magi~t~te adges indicate full- part-time) 01/01/2009 Nomination, 

Date DistrictJudge-oActive Initial Annual Fml 
12/31/2009 
5h. Amended Repor~ the ba~i~ the Information centained this Report and any Chamber~ Office Addrg~l; 
modifications pertaining thereto, ~, eptniun, compliance 
with applicable la~,~ and regulations.

Quentin Burdick Courthouse 
655 1st Ave. N., See. 410 
Fargo, 58102..4952 Date

Reviewing Officer 
IMPORTANT NOTES: The instruction~ accompanying this form must followe~L Complete all parts, checking the NONE box for each part whcre you have reportable information. Sign lust pag~ POSITIONS. ~omn~n~i~a~.~ NONE (No repo~able positions.) 
POSI~ON ORGA~ZATION~ T~stee 	T~st ~~II. AGREEMENTS. (~o~o,,,~ individual onl~ see pp. I~i fili~ i~uc6on~) NONE (No reportable a~eemen~.) 
PARSES ~15~3 	NDPERS Coun~ Retirement Plan NDPERS S~tc Judicial Retirement Plan 1102105 12~1/96 	457~) PI~ Sm~ ofNo~ DakoM 

Erickson, Ralph 

Name Perton Reporting
III.
 NON-INVESTMENT INCOME. tl~por~i.g iadi~i,tua! and sl~*e; 
Filers Non-Investment Income NONE (No reportable non-investment income.) 

DATE SOURCE AND TYPE Spouses Non-Investment Income -If you were married during ampartion the repordng year, complae thi~s~tion. (Dollar amount not required ~w.ept for honoraria.) 
~-] NONE (No reportable non-investment income.) DATE 
SOURCE AND TYPE
 12/31/2010 Self-employed Optometrist 
(~ncludes those spouse and dep~nden! children: see pp. 25-27 of.filing tn~mctiun~.} NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE 

Date Report 0~/10/2010 
~COME 
(yours, not spouses) 
ITEMS PAID PROVIDED GIFTS. a,a,a,~ ~o~ ,po,~o o,~ a~,o,~e,a ch~,~,; v:. ~-~ o::t~,~ i~,a~,.~ 
NONE (No repo~able ~fis.) NONE (No reportable liabilitiz~.) CREDITOR VALUE CODE 

Date Report
Name Pergon Reportrig 
FIN/LNCIALpage DISCLOS~ ~PORT EricSon, Ralph 05/]012010 
NONE reportable income, assets, tra~actio~.)  
De~o~o~ (incl~mg as~) Placc~)"aft~e~ exempt ~ior d~ci~ lgcomc during reining p~fi~ (I) (~)~Amount T~c(e.g., C~e div., ~nt, (A-H) i~.) value end ~po~ing p~od (1) (2) Val~ Value C~c Method (J-P) Code  ()) T~e(e.g., buy, sell. redemption)  T~aa~ions d~ing ~o~ing ~od {2) (3) (4) Date Value G~in m~dd/~, . Co~ C~e (J-P) (A-H)  /dcnti~of ~ycr/~l[er ~ion)(ifpfivatc  AWSHX  Dividend  Lsi Logic Corp.  None  lntel, lnc., common stock  Dividend  Alcatel Lucent common stock  None  Oakmark Select, mutual fund  Dividend  Proctor Gamble, common stock  Dividend  Wclls Fargo Co., common stock  Dividend  PIMCO High Yield Fund #108, Alerus Financial (SEP IRA) PHIYX Federated Total Return Bond fund 328  Dividend Dividend  Sold Buy  02/17/09 02/19/09  
10. 12. 13, 14. 15. 16, 17.  Federated Total Rclxtm Bond Fund 328 Federated Total Return Bond Fund 328 Federated Total Return Bond Fund 328 Federated Total Return Bond Fund 328 Federated Total Return Bond Fund 328 Federated Total Return Bond Fund 328 Federated Total Return Bond Fund 328 Federated Total Return Fund 328  None None None None None None None None  Buy (addl) Buy (addl) Buy (addJ) Buy (addl) Buy (addl) Buy (addl) Buy (addll Buy (addJ)  04!06/09 04/24/09 06104/09 07/09/09 08/04109 08110109 10/06/09 12/21/09  

(S~ Colum~ D3) =S250,~I S~00.0~ =$500.001 $I.~,~ t,~,~ S5.~0.~0 =S5,~.~!  
r~a~,,ore ..... R.po.t,.g ~.t.orR,po,~
NONE(No reportable Desc~ption As~ (including ~st ~sets)  income, assets, tramactiom.) I~ome d~ng Or~s ~[uc end ~ing period ~ing p~od T~sactions du~ng r~oning  
Pla=~=(X)"a~cha~et ~emptfromp~ordi~lo~e  ~~unti T~(e.g., C~ div.,~k int.)  Valu~ Code2 (J-P)  V~e Meted  T~(e.g.. ~y, seI[, ~c~ti~) Im~d~yy  Val~ Gain~ C~e2 (J-P) {A-H)  ldenti~of b~/sellcr (if private  
Fcdemt~ Total Return F~fl 328  None  Sold  1~1109  
19. 20.  Federated Kaufmann Small Cap Alerus SEP IRA SEP IRA FKASX Federated Kaufmann Small Cap Alerus SEP  None None  Sold (part) Buy (addl)  01121109 04/21/09  
21. Federated Kaufmann Small Cap Alerus SEP  Sold  05/29109  
22.  Goldman Sachs Real Estate Securities Fund #639 SEP IRA GILEIX  Dividend  Buy (addl)  01/06/09  
23.  Goldman Sachs Real Estate Securities Fund  None  Buy (addS)  02!19/09  
24.  Goldman Sachs Real Estate Securities Fund  None  Sold  11/17/09  
25. Pimco Commodity Real Return Strategy Fund Inst. #45 SEP  Dividend  Sold (pan)  12/21/09  
26.  Pimco Commodity Real Return Strategy Fund  Sold  12,r31/09  
27.  Vanguard 500 Index Signal Shares Fund 1340 (Alerus SEP)  Dividend  BuY taddl)  12/21/09  
28. Vanguard 500 Index Signal Shares Fund 1340  Sold  12131/09  
29. Fidelity Investors Diversified Int. Fd. Alerus: SEP FDVIX 30, Fidelity lnvcstorg Diversified Int. Fund  Dividend  Buy (addl) Buy (addl)  01106109 02/19/09  
31.  Fidelity Investors Diversified Int. Fund  Buy (addl)  04/06/09  
32.  Fidelity Investors Diversified Int. Fund  Boy (addq)  04/21/09  
33.  Fidelity Investors Diversified Int. Fund  Sold  07/22/09  
34.  Fidelity Advisor intl. Discovery. Fund  Dividend  Buy  07/07/09  
Value C~es .... rPer.en Reporting 	D,te Rport
VII. INVESTMENTS and TRUSTS ~co~, 
N0~ reportable income, assets, tra~actions.) :B.C. 
Desc~pfi~ As~ 
(inclu~ ~st resets) reporting p~iod ~oRing ped~ 
Place "(X)" a~er ~ch asset ~o~: (~.g., Valu~ V~u~ (e.g., Date ,V~u: Ga~ ld~a~ exempt ~om prior ~glosme div.,~L C~c2 Method bu),~l[. ~m~d~ Code2 C~e b~cr/scllrr {A-H) ~int.) (J-P) Co~ ~pti~) O-P) (A-H) (if private 
(Q-W) ~t~on) 
35. 	
Fidli~ Advisor Intl. Discove~ Fund Buy 07~2/09 

36. 	
Fideli~ Advisor Intl. Dis~w~ Fund Sold 1~1/09 

37. 	
Fidcli~ Ad~sor ln~. Dis~v~ F~d Sold 12~1/09 

38. 	
Northern lnsmtionalFunds Prime Interes~ Buy 12/31109 
Obligations Alerus SEP (addl) 

39. 	
Dimensional Small Cap Value Fund Dividend Buy 02119/O9 
(Alerus SEP) (addl) 

40, 	Dimensiorml Small Cap Value Fund Buy 03119109 (A1erus SEP) (addl) 
41. 	
Dimensional Small Cap Value Fund Sold 04/15/09 
(Alerus SEP) (,part) 

42. 	
Dimensional Small Cap Value Fund Bu3 06/19109 
(Alems SEP) (addl) 

43. 	
Dimensional Small Cap Value Fund Sold :07:21/09 
(Alerus SEP) (part) 

44. 	
Dimensional Small Cap Value Fund Sold 10:20/09 

(Alcrus SEP) 	(part) 

45. 	Dimensional Small Cap Value Fund Sold 12/21109 
(Alerus SEP) (pan) 

i46, 	Dimensional Small Cap Value Fund Sold 12131/09 (Alcrus SEP) 
~7. 	Janus Advisor Mid Cap Growth (Aletus SEP Sold 01121/09 	(part) 
48. 	
Janus Advisor Mid Cap Growth (Alcrus Dividend Merged 07/06109 
SEP) (with line 49) 

49. 	
Janus Enterprise Fund Dividend Open 07/06109 

50. 	
Janus Enterprise Fund Sold 12/21109 
(part) 

51. 	
Janus Ente~risc Fund Sold 12131/09 Income Gain Codes: -$1,000 
(S~ Colu~ C2) ~B~ Val~ ~O~ =~mamd 

r~a,~e otPanoa aepo~tl.~ 	rate Page Erick~an, Ralph 05/10~2010 
VII. INVESTMENTS TRUSTS i,,co,~., ~n~..,, ..... ~o,,, (lndudts those spouse and ae4,endem clat,tr~nt,eepp. 3#-~o n/fillng 
~-~ NONE (No reportable income, assets, transactions.) B.C. 
Description Assets Income during Gross value end Transactions during reporting period (including lrust assets) repomng period reporting pezSod (2) (1) (2) (1) (2)II (4) 

Placc(Xl"afternachasset 	IAmount Type(e.g., Value Value Type(e.g., Date Value Gain ldentityof Code
exempt from prior discl0sure div., rent, Cod2 Method buy, sell. imm!ddlyy Cod2 Code buyer/selleri (A-H) orint.) (J-P) Code redemption) (JP) (A-H) (if private 
52. 	
Riversource Mid Cap Value (Alerus Dividend Sold 12/21/09 
SEP) (part) 

53. 	
Riversouree Mid Cap Valuc (Alerus Dividend Sold 12131/09 EP) 

54, 	Buffalo Small Cap Inc. (Alerus Sop) Dividend Buy 05119109 
55. 	Buffalo Small Cap lnc. (Alerus SEP) Buy 01129109 
(~dd~) 
56. 	Buffalo Small Cap Inc. (Alcrus SEP) Sold 07/21/09
(part) 
57. 	Buffalo Small Cap inc. (Alerus SEP) Buy 09/04/09 
58. 	Buffalo Small Cap Inc. (A]crus SEP) Bay 09/21/09 

(addl) 
59. 	
Buffalo Small Cap Inc. (Alerus SEPI Buy 10/06/09 
(addS) 

60. 	
Buffalo Small Cap inc. (Alerus SEP) Buy II/19/09 
(addI) 

61. 	
Buffalo Small Cap Inc. (Alcrus SEP) Buy 12/04/09 
(addl) 

62. 	
Buffalo Small Cap lnc (Alerus SEP) Sold 112/21/09 

63. 	
Buffalo Small Cap lnc (Alerus SEP) Sold 12/31/09 

(>4. 	Cohen Steers lnstitmional Global Realty Dividend Buy 10/06/09 
Fund Class 

65. 	Cohen Steers Institutional Global Realty Buy 12/21/09 
Fund Class 

66, 	Cohen Steers Institutional Global Realty Dividend Sold 12/31/09 
Fund Class 

67. 	
Federated Capital Rose,we Fund. State Bank Interest Trust (X) 401K 

68. 	
ING Aetna 457(b) ING (Actual lndcx Int..rDiv. 
Plus Large Cap. 

{Sen Co[~ C2} =B~k Value -Other .... ..... R.po.i.g 	t).,..ra~o.
Pag~ Of" Erickson, Ralph 	05II 0..2010 
VII. INVESTMENTS and TRUSTS ....... ..... tians (I.ctM~s those spo .... depeM~nt children: ~ee 

HOHE reportable income, assets, transactio~.) iC. 
~scr~p~on As~ "Income during Gross v~e end T~sac~ons ~ng r~ing p~od (including ~s~ ~sets) reporting p~i~ r~ning (I) (2) (1) {2) (1) (2) (3) ,A..... V~uc (e.g. Datc Vslue G~n ldmtity ex~pt ~om ~ior ~sct~ CMc div,, ~nL C~e2 Meth~ b~.~ll, im~dd!.~Code2 ~C~e ~yerl~lI= (A-i!) int.) (J-P) Code r~emption) (J-P) (A-H) (if private 
69. 	
ING A~4~7(b) Fidli~ YIP GrB~ InUDiv. Po~folio 109 

70. Acma 457(b) T.Rowe ~cc Int.~iv. Gr-lnit~9 

71. 	
ING A~ma 457~) Oppc~eim~ Global Int,~iv. Pt-lnit~32 

72. 	
Gate Ci~ Savings-Savings Account lnt~r~t 

73. 	
Digital Broadcast Corporation None 

74. 	
Phoenix Life Insurance Policy Trust Int./Div. Distributed 12/29/09 

75. 	
Guardian Insurance Trust Buy 12/29/09 

76. 	
Guardian Insurance .-] Life Insurance Dividend

Cash Value) 

77. 	
Guardian Insurance(Cash Value) Dividend 

78. 	
Guardian Insurance (Cash Value) Dividend 

79. 	
Jackson National Life,~Life Interest Insurance) Income Gain Code~: ,O~] hess -$1,0OI $2,500 =.g2,501 $5.0fl0 ~5.001  $15.000 15.0OI .550.000  
(g~ Cotumn.~ and 134) -$50,001 $11~0,000 -$100,D01 -$1.000,000 ~S] .00O.00l $5,000,000 =More than $5.000,000 Yal~e C~dei (Set Columns ,nd -$15,000 ]e~t =~250.001 $500.000 =SIS,001 $50,000 500,001 1,000,000 =$50,001. $!00.000 ,tYJO.O $5.~10.1~q -$100.001 =~5.(~0.001 $25.1~0.000 -$25,000.001 $50.000,000 =More than Value Method Coder ~Appraisal =Cos! (Real EXmle Only) =A~sessrae~lt --Cash Market  
(See Colarma C2) ~Book Value =Other =Ettim~led  

VII!. ADDITIONAL INFORMATION EXPLANATIONS. 
VII Investments and Trusts. Lines through 18. Federated Total Return Bond Fund 328. Various amounts shares were bought and sold the dates indicatied The entire holding was liquidated December 31, 2009 indicated line 18. All holdings the SEP w~dated and Wansferred the Nortl~rn
Institutions Prime Funds Prime Obligations Account indicated Line anticipation restatement .... retirement plan. 
VII.
 Investments and Trusts. Lines through 21. Fcderat.ed Kaufman Small Cap Fund. Various amounts ofshares were bought and sold the dates indicated. The entire remaining holding was liquidated May 29, 2009 indicated Line 21. 

VII.
 Investraents and Trusts. Lines through 24. Gnldman Sachs Kcal Estate Securities Fund. Various amounts shares were bought and sold the dates indicated. The entire remaining holding was liquidated November 17, 2009 indicated Line 24. 

VII Investments and Trusts. Lines through 26. Pimco Commodity Real Return Strategy Fund Various amounts shares were sold the dates indicated. The entire holding was liquidated December 31, 2009 indicated line 26. All holdings the SEP w~dated and transferred the Northern Institutions Prime Funds Prime Obligations Account indicated Line anticipation restatement oI~ lretirement plan. 
VII Investments and Trusts. Lines through 28. Vanguard 500 Index Signal Shares Fund. Various amounts shares were bought December 21,2009, The entire holding was liquidated December 31. 2009 indicated line 28. All holdings the SEP were linuidated and transferred the Northern Institut ons Prime Funds Prime Obligations Account ndicated Line anticipation restatement o[, retirement plan. 
VII Investments and Trusts. Line~ through 33. Fidelity Investors Diversified International Fund. Various amunnt~ shares were bought and sold the dates indicated. The entire holding was liquidated December 31,2009 indicated line 33. All holdings the SEP were liquidated aud transferred the 
Northern Institutions Prime Funds Prime Obligations Account indicated Line anticipation restatement or] ret rement plan. 
VII Investments and Trusts. Lines through 37. Fidelity Advisors International Discovery Fund Various amounts shares were bought and sold the dates indicated. The entire holding was liquidated December 31. 2009 indicated line 37. All holdings the SEP were liquidated and transferred the 
Northere Institutions Prime Funds Prime Obligations Account indicated Line anticipation restatement o retirement plan. 
VII Investments and Trusts. Lines through 46. Dimensional Small Cap Value Fund. Various amounts shares were bought and sold the dates 
indicated. The entire holding was liquidated December 31, 2009 indicated line 46. All holdings the SEP w~__..~.~uidated and transferred theNorthern Inst tutions Prime Funds Prime Obl gat uns Account indicated Line anticipation restatement ol~ retirement plan. 
VII. Investments and Trusts. Line 48. Janus Advisor Mid Cap Growth Fund was exchanged for Janus Enterprise July 2009. 
VII Investments and Trusts. Lines through Janus Enterprise Fund. Various amounts shares were bought and sold the dates indicated. The entire holding was liquidated December 31,2009 indicated line All holdings the SEP were liquidated and transferred the Northern Institutions Prime Funds Prime Obligations Account indicated Line anticipation restatement retirement plan. 
VII Investments and Trusts. Lines tinough 63. Buffalo Small Cap Inc.. Various amounts shares were bought and sold the dates indicated. The entire holding was liquidated December 31. 2009 indicated line 63. All holdings the SEP were liquidated and transferred the Northern Institutions Prime Funds Prime Obligations Account indicated Line anticipation restatement retirement plan. 
VII Investments and Trusts. Lines through 67. Cohen Steers Institutional Global Fund. Various amounts shares were bought and sold the dates indicated. The entire holding was liquidated December 2009 indicated line 67. All holdings the SEP we~_L.~uidated and transferred the Northern Institutions Prime Funds Prime Obligations Account indicated Line anticipation restatement retirement plan. 
VII. Investments and Treats. Lines and 75. Section 1035 exchange between Phoenix Life Insurance and Guardian Mutual took place December 29. 2009. 
DISCLOS~ ~PORT Person Reportn~ Dnte R~porz

[~ame
IX. CERT~ICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurat~ true, and complete the best knowledge and belief, and that an) information not reported was withhdd 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 MAY 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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