I

AOlO Rev, 1/2011 I

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

Court or Org~ulr~tion U.S. District Court - Minnesota
5a. Report Type (check appropriate type) ] Nomination, [] Initial Dat~ [] Ann-~l [] Final

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

[ I. Pe~on Reporting (last name, first, middle Initial} Ericksen, Joan N. 4. Title (Article Ill Judge* Indicate acttv or senior status; m~gistrate judges indicate full- or part-tin~)

6. Reporting Period

01/01/2010 12/31/2010

U.S. District Attorney Judge - Active

fib. [] Amended Report

7. Chambcrt or Office Address

12W United States Courthouse 300 South Fourth Street Minneapolis, MN 55415

8. On the basis of the Information ontnined hs this Report and modlficetlon~ per~aln|n thereto, il |~ In my opinion, In compliance with applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parls, checking the NONE box for ach part where you have no reportable Information. Sign on lastpage.

I. POSITIONS.
~-~ NONE (No reportable positions.)

POSITION
1. 2. 3. 4. 5. Board of Directors Board Rules of Evidence Committee Board of Directors

NAME 0F ORGANIZATIONfENTITY Friends of the Children Foundation

Federal Bar Association Judicial Conference Minnesota Lawyer

II. AGREEMENTS. rRo~,o~a.~ ~.~i,~.,~o.~

NONE (No reportable agreements.)
DATE
1.2002 2. 3.

PARTIES AND TERMS

Minnesota State Judge Retirement Plan - former employer - no control

Ericksen, Joan N.

FINANCIAL DISCLOSURE REPORT Page 2 of 7

Name of Person Reporting Erick~en, Joan N,

Date of Report

0/21/~011

Ill. NON-INVESTMENT INCOME. tRoporti.~ i,,,n,-i~,u,~ a,,d:,~,ause;,~or~. ~ ~-u

A. Filers Non-lnvestment Income
--"1 NONE (No reportable non-investment income.) DATE SOURCE AND TYPE

INCOME (yoors, not spouses)

$9,000.00 $9,000.00

l. Jan 2010 2. Aug 2010 3. 4.

Teaching - University of St Thomas Teaching - University of St Thomas

B. Spouses Non-lnvestment Income - If you wer~ married duMng any port~n of th~ rportlng j~ar, comp&t lhh st~
~o11~ amount not required ~c~t for honor~a.)

~
I. 2. 3. 4.

NONE ~o reporcable non-investment income.) DA~ SOURCE A~ ~E

IV. REIMBURSEMENTS (Includes those to spouae and dependent children," see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.) SOURCE DATES

4-29-2010

LOCATION
Santa Fe, NM

PURPOSE Evidence Drafting Committee Symposium Teaching

ITEMS PAID OR PROVIDED

Transportation, meals, hotel

1.

National Conference of Bar Examiners

" 2. GW University Law School 3. William Mitchell College of Law National Conference of Bar Examiners

5-1 i-2010 June 2010

Washington D.C. London, England

Transportation, meals, hotel Transportation, meals, hotel

4.

I I-11-2010

St. Thomas, Virgin Islands Evidence Drafting Committee

Transportation, meals, hotel

5.

Name of Per~om Reporting

PageFINANCIAL3 of 7 DISCLOSURE REPORT I Ericksen, Joan N.

V. GIFTS. a~,, ,ho,o ,o ,Z,o~,, ..~ d~,.~,~, ,~U~.; ,,, ~. 2~ ~ ~ off~ ~,~o~.~ NONE ~o reportable g~s.) SO~CE
1. 2. 3. 4. 5.

DESCRI~ION

VALUI~

NONE (No reportable liabilities.) CREDITOR

I. CountaTwide Bank

DESCRIPTION
Motagage

VALUE CODE N

2. 3.
4.

5.

FINANCIAL DISCLOSURE REPORT Page 4 of 7

Name of Person Reporting Erlck~en, Joan N.

Date of Report 04/21/2011

VII. INVESTMENTS and TRUSTS - inco,~e. .lue. ,nn,oc#o., ancl.de, ,ho*e of *vonso u.d depe,~e., children; see pp. 34-60 of f ring instruction~.)
[~ NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including lrust asset~) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting p~riod (t) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W)
Transactions during repo~ting period

(1)
Type (e.g., buy, sell, redemption)

(2)
Date mm/dd/yy

(3)
Value Code 2 (J-P)

(4)
Gain Code I (A-H)

(5)
Identity of buyer/seller (if private transaction)

Minnesota State Retirement System Judges Redr~nent Plan 2. 3.

4.

None

T
Sold

Pumam Intl Capital Opportunities Putnam Iml Capital Opportunities

02/02/I0 05/25110 02/03/I 0 05/251 i 0 05/25110 05/25110 05/25/10 05125/10 05/2 5110 05/25110

J J J J J J J J J K

A A

(part)

(PNVAX)

Sold A A A Int./Div. Int./Div. Int./Div. J J J T T T Buy Sold

Pumam Intl Capital Opportunities (PNVAX) Vanguard Mid Cap Growth (VOT) Vanguard Mid Cap Value (VOE)

5. 6. 7. 8. 9. 10.

(part)
Sold

B C

(pa~)
Buy

Vanguard Mid Cap Value (VOE) Vanguard Growth (VUG) Vanguard Value (VTV)
Oppenheimer lntl Bond (OIBAX) Oppenheimer Infl Bond (OIBAX) A A Int./Div. Int./Div. K K T T

Buy Buy (addl) Buy (addl) Sold

12.

Oppenheimer Intq Bond (OIBAX) Columbia High Yield (INEAX)

Int./Div.

C B
A A

lntJDiv. Int./Div.
Int./Div. Int./Div.

K K
J K

T T
T T

14.

]nvesco Global Real Estate (AGREX) lnvesco Global Real Estate Franklin MN Tax Free ffMINX) Franklin HY Tax Free (FRHIX)

15. 16.

Int./Div.

I. Income Gain Codes: (S~ Columns BI and D4) 2. Value Codc~ (S~ Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F -$50,001 - $100,000 J =$ I 5,000 o1 leas N =S250.001 - $500,000 P3 =$25,000,001 - $~0.000.~00 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G ~SI00,00l - $1,000,000 K =515,001 - S50,000 O =S500,001 - SI,000,000 R =Cc~! (Real Estate Only) V --O~her

C =$2.5OI - $5,000 HI =$1.000,001 - $3,000,000 L =$50,001 - $ 100,0OO PI =$1,000,001 - S5.000,000 p4 =More lhan S =Assessment W =Estimated

D -$5.001 . $1 $.000 H2 =Mote ~han S5,000.000 M =S 100,001 $250,000 P2 =S5,000,001 - $25,000,000 "1" =Cash Market

E ~SIS,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 7

Name of Person Reporting Ericksen, Joan N.

Da~e of Repor~ 04/21/2011

VII. INVESTMENTS and TRUSTS - i.co,.,. ,.i.e. ,,..,.cao., a.cl.~e, those oy,po.,e ..d dependent children; see pp. 34-60 of fillng instruclions,)
NONE (No reportable income, assets, or trar~actions.)
A. Description of Assets (including t~rust assets) Place "(X)" alter each asset exempt from prior disclosure B. Income during ~porting period (I) (2) Amount Type (.g., Code 1 div,, rent. (A-H) or in1.) C. Gross value at end of reporting period (I) (2) VaMe Value CUd 2 Method Code 3 (J-P) (Q-W) J K K T T T Buy (addl) A Int./Div. T Buy Sold A A Int,/Div. Inl./Div. None
J

D. Transactions during reporting period (0 Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (ffprivate transaction)

18.

Oppenheimer Rochester Natl MuM

A A B

Int./Div. lnt./Div. Int,/Div.

(ORNAX)
Oppenheimer Developing Markets (ODMAX)

20.

Pimco Commodity Real Return Strategy

(PCRAX)
21. lnvesco Global Real Estate (AGREX) 22. 23.
UMB Scout lntl (UMBWX)

05/25/I0 05/25/I0 05/25/I o

iShares Barclays TIPS (TIP)

T T T

24. Credit Suisse Commodity Return Strategy (CRSAX) 25. iShares iBoxx Invest-Grade Corp (LQD) 26. Oppenheimer Main Street Small Cap (OPMSX)

J J

I. Income Gain Codes: (Set Columns BI and D4) 2. Value Co&s (See Columns CI and D3) 3. Vatu Method Codes (Set Column C2)

A =S 1.000 or less F =~50,001 J =$15,000 o* less N =$250.001 - S500.000 P3 -$25.D00.001 - $50.000.000 Q =Appraisal U =Book Value

O =S 1.001 - $2,500 K =Sl~,0~l. $50,000 O =$500.001 - $1.000.000 R =Cost {Real Est,~t Only) V =Other

C =52,501 - SLO00 L -SS0.001 - $1D0,0~O PI =SI.000.0~ I - S5.000.000 P4 =Mole than $50.000,000 S =Assessment W =Estimated

O =$5,001 - 515,000 M =$100,00l - S250,000 P2 =S5.000.001 - $25.000.000 T =Cash Market

E =115.001 -

FINANCIAL DISCLOSURE REPORT Page 6 of 7

Name of Person Reporting Ericksen, Joan N.

Date of Report 04/21/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 7 of 7 IX. CERTIFICATION.

Name of Person Reporting Ericksen, Joan N.

Dale of Report 04/21/2011

! certify that all information given above (including information pertaining to my spouse and minor or dependent children, If any) is accurst, t~4nd complete to the best of my knowledge and belief, and that any Information not reported was withheld because it met appllcable statutory provisions permitting non-disclosure.
! further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported or~ 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 FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CML AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

AO 10 Rev. !/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or OrganL~ation

Report Required by the Ethica in Government Act of 1978 (5 U$.C. app. 101-111)

1. Person Reperting (last n-~e, first, middle initial)

3. Date of Report 04/21/2011

Reporting Period 01101/2010 to 12/31/2010

E6cksen, Joan N.
4. Title(Article HI Judge~ indicate active or ~enlor status;

U.S. District Court - Minnesota Report Type (check appropriate lype) ] Nomination, Date [] Initial [] Annual
5b. [] An~d Report

magistrate judges indicate f~tl- o~ ptwtin~) U.S. Dis~ct Attorney Judge - Active [] Final

7. Chamb~r~ or Office Address

12W United States Courthouse 300 South F~mrth Street Minneapolis, MH 55415

8.On theb~h of the lafnrmatlon contained la thh Reporl end any modifications pertaining thereto, It It, In my opinion, in compliance with appUcvble laws sad regulations.

IMPORTANT NOTES: 1Tie 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.

N~AME OF ORGANIZATION/ENTHY Friends of the Chi|dren Foundation 2. Board 3. Rules of Evidence Committee Board of Directors
Federal Bar Association

Judicial Conference Minnesota Lawyer "-" - "

NONE (No reportable agreements.) I)ATE

1. 2002 2. 3.

PA~TIE~AND TERMS
Minnesota State Judge Retirement Plan - former employer - no control

Ericksen, Joan N. A

FINANCIAL DISCLOSURE REPORT Page 2 of 7

Ericksen, Jonn N.

A. FLiers Non-Investment Income ~-~

NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. Jaa 2010 2. Aug 2010 3. 4. Teaching - University of St Thomas Teaching - University of St Thomas

INCOME (yours, not spouses)

$9,000.00 $9,000.00

B. Sponsets Non-Investment Income - I/y. ,~r~ m~rrled dating any pordon of lhe rrponing ycar, omplae t~is sectioa.
(Dollar amount not required eJcept for honorari,z)

I-~

NONE (No reportable non-investment income.)

DATE
1. 2. 3. 4.

SOURCE AbrD TYPE

IV. REIMBURSEMENTS -,,,,,,.,.0,,,.,,,~o,,, to,v,,:,~oo~. ,,,,or~,,,,,,,~

(lnclud~ thas to spaus anddependcnt children," $ pp. 2J-27 of f!ling Instructions.)

~-~

NONE (No reportable reimbursements.) SOURCE ~

4-29-2010

LOCATION
Santa Fe, NM

PURPOSE
Evidence Drafting Committ~ Symposium Teaching

I___TEMS PAID OK PROVIDED

Transportation, meals, hotel

!.

National Conference of Bar Examinet~ GW University Law School William Mitchell College of Law National Conference of Bar Examiners

2. 3.

5-11-2010 June 2010

Washington D.C. London, England

Transportation, meals, hotel Transportation, meals, hotel

a.

I I-11-2010

St. Thomas, Virgin Islands

Evidence Drafting Committee

Transportation, meals, hotel

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 7

Name afPcnon Reportiag Erickzen, Joan N.

Date of Report 04/21/2011

~]
I. 2. 3. 4. 5.

NONE (No reportable gifts.)

SOURCE DESCRIPTION

~--] NONE (No reportable liabilities.) CREDITOR

I. 2. 3. 4. 5. Counuywide Bank

DESCRIPTION
Mortgage

VALUE CODE N

FINANCIAL DISCLOSURE REPORT Page 4 of 7

IE

ame of Persou Reporl~g ricksen, Joan N.

Date of Repot2 04/21/2011

~..

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

A. Description of Assets (inchuling trust ~sc~) Place "(X)" al~ea" each asset exempt from prior disclosure B. Income du~ng t*eporting period (i) Amount Code I (A-H) (2) Type (e.g~ div.. rtat. or int.) C. Gross value at end of re~orting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) M D. Transactions during rtporting period (I) Type (e.g~ buy, sell, r~!cmlY, ion) (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (~) Identity of buyer/sellor (if private aaas~ion)

Gala Code I (A-H)

Minnesota State Retirement System Judges Retirement Plan Putnam Intq Capital Opportunities Putnam lntl Capital Opportunities (PNVAX) Putnam lntq Capital Opportunities (PNVAX)
Vanguard Mid Cap Growth (VOT) A A

None

Sold Sold
{ lnt,/Div. Int./Div.

02/02/10 05/25/10 02/03/10 05/25110 05/25/10 05/25/10 05/25/10 05/25/10 05/25/10 05/25110

J J J J J J J J J K

A A

J J J

T T T

Buy
Sold Sold (part) Buy

Vanguard Mid Cap Value (VOE)

Vanguard Mid Cap Value (VOE) 8. 9. 10. l I. 12. ] 3. 14. 15. 16. 17. Vanguard Growth (VUG) Vanguard Value (VTV) Oppenheimer Intl Bond (OIBAX) Oppenheimer Intl Bond (OIBAX) Oppenheimer Intq Bond (OIBAX) Columbia High Yield (INEAX) Invesco Global Real Estate (AGREx) lnveso Global Real Estate Franklin MN Tax Free ffMINX) Franklin HY Tax Free (FRHIX)

lnt./Div.

A A

lnt./Div. lnt./Div.

K K

T T

Buy Buy (addl) Buy (addl)

Sold
B C B A A A ! Int./Div. Int./Div. Int./Div. Int./Div. IntJDiv. lnt./Div.

L K K J K K

T T T T T T

11 ~com Gain Corl~:

A -$1,000 or

=$3,0OI - $15.000 =Mort ~ S$,000,000 =$100.001 - $2~0.000 --~ 5.000.001 R ~ (Real E~s~ Only) S -As~mcnt

E =513,001 - 550.000

3. Vd~ Mcth~ ~es

Q =Ap~i~}

-Cts~ Market

FINANCIAL DISCLOSURE REPORT Page 5 of 7 VH. INVESTMENTS and TRUSTS -

Name of Penon Reporting Ericloen, Joan N.

Date of Report 04/21/2011

NONE (No reportable income, assets, or transactions.) A. Description of AsscLs (including trim m.~a)
Pl~e "(X)= al~er each asset

B. Income during
repotrh$ period

C. Gross value at end

of rtporting period

Transactions during repotting period (i) Ty~ (e.g., buy, r~lempfion) (~) O) Date Value mm/dd/yy Code 2 (J-P) (4) Gain Code I (A-H)

(i)
Amount

(2)
Typ~ (e.g.,

(D
Value

(2)
Value

exempt from Frior disclosur~

Code I (A-H)

div., rent, or int.)

Code 2 (J-P)

Method COd 3 (O-W) T T

Identity of buy~/s~ll~ (if private

18. Oppenheimer Rochester Nail Mtmi 19.

Oppenheimer Developing Markets (ODMAX) (ODMAX)

A A

lntJDiv. IntdDiv.

J K

Buy Buy (addl)

04/29110 07/13110

J J

:20. Oppenheimer Developing Markets 21. 22.

Pimco Commodity Real Return Strategy (PCRAX)
Invesco Global Real Estate (AGREX)

Int./Div.

T Buy (addl) 05/25110 05/25/I 0 J J

23. UMB Scout Intl (UMBWX) 24. iShares Barclays TIPS (TIP)

A A

lnUDiv. IntJDiv. J

T T T J J J K T T T

Buy Sold

05/25/10 J

25. Credit Suisse Commodity Return Strategy

(CP, SAX)
26. iShares iBoxx Invest-Grade Corp (LQD) 27. 128. 29. 30.
Oppenheimer Main Street Small Cap (OPMSX) Ameriprise Money Market

A
A

Int,/Div.
Int./Div.
None

Interest

Fidelity Adv 529 2010 C

Minnesota Deferred Cutup Plan

None

Distributed 01/04/10 L

B -$l,OOI $2,500 G -5100,0el - $ 1,000,000 K -$15,001 - $50.000 0 -S500,00l - Sl.OOO.O00 R =~ost (Real Estat~ Only) V

D =$5.00! - $15,000 H2 =Mote ~ban M =$I0~,001 - 5250,000 P2 ~SS.000,OOl - $2:5,000.000 T -C~sh Market

E -$15.0~I -

FINANCIAL DISCLOSURE REPORT Page 6 of 7

Dale of Report

Erlck~en, Joan N.

04/21/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 7 of 7

~ame of Person Reporting Ericksen, Joan N.

Date of Reporl 0~/21~2011

IX. CERTIFICATION.
I certify that ill Information given above (including Information pertaining to my spouse and minor or dependent hlldren~ 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 prov4sions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gift~ which have been reported are In compliance with the provi~|on~ efS U.S.C. app. 501 at. ~eq., 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 (5 U.S.C. app. 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544