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Judicial Watch • Joan N. Ericksen – 2009

Joan N. Ericksen – 2009

Joan N. Ericksen – 2009

Page 1: Joan N. Ericksen – 2009

Category:Federal Judges

Number of Pages:9

Date Created:September 10, 2013

Date Uploaded to the Library:October 15, 2014

Tags:Ericksen, Joan N Ericksen, Teaching, vanguard, filing, 2009, INVESTMENTS, TRUSTS, Codes, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act 1978 
Rev.112010 
FOR CALENDAR YEAR 2009 U.S.C. app.  JOJ.J 11) Ptnon Reportini: (last name, first, middle initial) Ericksen, Joan Court Oriaaiz.ation U.S. District Court -Minnesota Date Report 05/12/2010 Title (Article judges indiCllle active senior status; magistrate judges indicate full-or part-time) U.S. District Judge -Active 5a. Report Type (check appropriate type) Nomination. Date Initial lll Annual Final Reporting Period 01/01/2009 12/3112009 
sb. Amended Report Chambers Office Address United States Courthouse 300 South Fourth Street Minneapolis, 55415 the basis the information contained this Report and any modification1 pertaining thereto, opinion, compliance with applicable laws and regulations. Reviewing Off teer Date 
 
IMPORT ANT TES: The instructions accompanying this form mus/ followed. Complete all parts, cheeking the NONE box for each part where you have reportable information. Sign lo.st page. POSITJ ONS. (Reporting individ11al only; supp. 9-13 of/Wng instructions.) NONE (No reportable positions.) Board Directors Friends the Children Foundation Board Rules Evidence Committee Federal Bar Association Judicial Conference r-.> 
 
 J 
II AGREEMENTS. (Rporfing individual only; e pp. f.1-16 filing instructions.) NONE (No reportable agreements.) rrin o:t> ..,,., ()f11 < 2002 Milll1esota State Judge Retirement Plan -fonner employer -no control 
 
 
Ericksen, Joan 
 
 
III. N-INVES TMENT ME. (Reporting indiviilual tznd spouse; supp. J7-14 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 2009 Teaching -William Mitchell College Law 
(yours, not spouses) $850.00 
January Teaching -University Thomas $9,000.00 
Fall 2009 Teaching -University Law School $6,000.00 Spouses Non-Investment Income -I/you maied dMring anyportion the reporting 1ear, complete this section. (Dollar amount not required except for honoraria.) 
[Z] NONE (No reportable non-investment income.) 
 
 
IV. REIMBURSEMENTS -lrflMportation, lodging, food, entertainmenL 
(Includes those spouse and dependent children; pp. 25-27 filing instructions.) NONE (No reportable reimbursements.) 
 
 
 
 
 
 
Name Penon Reporting 
Ericksen, Joan 
05/1212010 GIFTS. (lndudes tliose spouu and dependent children; supp. 28-31 filing lnstrucrions.) 
[Z] NONE (No reportable gifts.) 
 
VI. LIABILITIES. (lndudt!S those ofspouu and dqHndent childrm; supp. 32-33 filing instructions.) NONE (No reportable liabilities.) Countrywide Bank Mortgage 
 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transac1ions r1nc1udes rhou spouse and dependerr1 children;,,. pp. u-60 offilini: insJrctions.J NONE (No reportable income, assets, transactions.) Income Gain Codes: Sl,000 less =St,001  $2.500 -s2.so -ss.ooo SS,001-Sll.OOO $1 l.OOI  SS0,000 
(Sec Columns and 04) SS0.001  S!00.000 SI00.001  Sl.000.000 1,000.00  SS,000.000 Moct lh>o Sl.000,000 V>luc Codes Sll,000 -s1s.001 -s.so.ooo $50,001-$100,000 =U00,001 -$250,000 
(Sec Columns and OJ) $250.001 -$500,000 S.I00.001  Sl,000,000 SI .000.001  Sl.000,000 SS,000,001  Sll.000,000 -s2s.ooo.001  SS-0.000.000 M0tt tbao SS0,000,000 Valu< Mclhod Codes Appraisal C0>I (Rcat Estate Only} sAssessment ...Ca$h Mm-kct 
(Sec Column C2) Dool Value V-Dthcr WEstimalcd 
 
 
 
 
 
Name Person Repoting 
0511212010 
Ericksen, Joan 
Vtl. INVESTMENTS and TRUSTS -income, vatu, 1ra11sactions r1nc1ut1cs 11wu spouse and apnaen1 chi1t1un;su pp. 34-60 filing instruction.J NONE (No reportable income, assets, transactions.) lncomc Gain Codes: Sl,000 Jess SI.DOI -52.500 S2.SOt -S5.000 D=S5.00l Sl5.000 =SI s.001 -S5o.ooo 
(Sec Columns ond 04) FSS0,001-$100.000 =SI00,001 -$1,000,000 Sl,000.001-Sl.OOO.OOO More than $5,000.000 Value Codes SI 5,000 lcu 15,001 -$50,000 $50,001 -SI00,000 S 100.001  $250,000 
(Sec Columns and DJ) -s2so.oo -ssoo,ooo -s500.001  11,000.000 Sl.000.001-Sl,OOO.OOO SS,000,001 -$25,000,000 $25.000.001 -$50,000,000 Mon: than $50,000,000 Value Method Codes Appr>isal =Cost (Real Estate Only) Assessment =Cash. Markee 
(See Column C2) Book Value =Other -=Estimated 
 
 
VIJ, INVESTMENTS and TRUSTS -income, value, transactions (Includes thou spouse anJ deparJart chi/drtff; supp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Income Gain Codes: Sl,000 =Sl,OOJ -$2,500 $2,501  ss.ooo $5,001. St5,000 $15,00  SJ0.000 
(Sec Clumns and !:>4) SS0,00 -SI 00,000 $100.001 -St ,000,000 Ill Sl.000,001 -$5,000,000 =More than $5,000,000 Value Codes $15,000 less 415,001 -$50,000 S50,001 -SI00.000 100,001  $250,000 
(Sec Columns >nd OJ) $250,001  $500,000 SS00,001 -SJ.000,000 =Sl.000,001 -$5,000,000 =S5,000,00t -$25,000,000 $25,000,001  $50,000.000 =More than $50.000.000 Value Method Codts Approit -COst (Real Es,.te Only) sAsSCSSmcnt T-Cash Market 
(Sec Cr>lumn C2) ::Bool. Value ..Qdier ozEstimated 
 
 
VII. INVESTMENTS and TRUSTS -income, value, mmsacrions r1nc1udesrhou ofspouu and dependent children;.,, pp. 14-60 offilinc ;,,.,,.ctions.J NONE (No reportable income, assets, transactions.) 
De>eription Assets 
Transactions during reporting period 
Gross value end 
Income during 
ofreportiag period 
reporting period 
(including trust assets) 
(2) 
(I) 
(I) 
(I) 
(3) 
(4) 
(5) 
Gain 
Value 
Identity 
Value 
Value 
Type (e.g., Date 
Amount 
Place (X) after each asset 
Typc(c.g., 
Code 
Code 
buyer/seller 
Code2 
Code 
Method 
buy, sell, mrn/dd/yy 
div., ren 
exempt from prior disclosure 
(A-H) 
(if private 
redemption) 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) Dividend 
54. Vanguard Value (VTV} Buy (addI) 06/03 
55. Vanguard Value (VTV) Buy (add!) 12130 
56. Vanguard Value (VTV) Dividend 
57. iSharcs iBoxx Investment Grade Corp (LQD) Buy 12130 
58. iShares Barclays TIPS (TIP) Buy 12/30 
59. Oppenheimer Main Street Cap (OPMSX) Buy 12/30 
60. Jncome Gain Codl!s: S.1,000 lest Sl,001  $2.500 $2.501. SS,000 SS,001 -$15,000 -$15,001 -$50,000 
{Sec Columns and D4) $50.00l  00.000 GSlOO.OOl Sl.000,000 Sl,000,001  $5,000.000 =More than .000.000 Value Codes St5,000 odess SIS,001 -$50,000 $50.001-$100.000 $100.001-$250,000 
(Sec Colwnns and 03) $250.001 -$500.000 =5500,001 -Sl,000.000 =Sl.000.001-$5,000,000 $5,000,001 -$25,000.000 =$25,000,00 -$50,000,000 More than $50.000,000 Value Melhod Codes QAppraisal -.Cost (Real Esiato Only) >=Asscumcnr -Cash Mark.ct 
(Sec Column C2) aBook: ValuC --Other Estimated 
 
 
 
 
 
Name Person Reporting 
Dale Report 
Erick!en, Joan 
05/12/2010 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicateparto/Repor1.) 
 
 
 
 
 
Namt Person porting 
0511212010 
Ericksen, Joan 
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 bonoraria 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