Joan N Ericksen Financial Disclosure Report for 2010

Embed Size (px)

Citation preview

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    1/14

    I AOlO IR e v , 1 / 2 0 1 1 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010 Report Required by the E thicsin Government Act of 1978(5 (I.S.C app. 101-111)[ I . Pe~on Report ing ( la st name , f i rst , m idd le In i t ia l}

    Ericksen, Joan N.

    4. Title (Article Ill Judge* Indicate acttv or senior status;m~gistrate judges indicate full- or part-tin~)U . S . Distr ic t At torney Judge - Act ive

    7. Chambcrt or Office Address12W Uni t e d S t a te s Cour t house3 0 0 Sou th Four th S t ree tMi nne a po l is , MN 55415

    Co u r t o r O r g ~ u l r ~ t i o nU.S. Dist r ic t Court - Minnesota

    5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t ~[] Initial [] Ann-~l [] Finalfib. [] Amended R e p o r t8. On the basis of the Information ontnined hs this Report andmodlficetlon~ per~aln|n there to , i l |~ In my opinion, In compl iancewi th appl icab le l aws and regu la t ions .

    6. Reporting Period01/01/201012/31/2010

    Reviewing Office r Date

    IMPORTANT NOTES: The ins t ruct ions accompanying thi s form mus t be fo l lowed . Complete a l l par l s ,checking the NON E box for ach part wh ere you have no reportable Information. Sign on lastpage.

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

    POSITION1 . Board of Directors2. Boa rd Federa l Bar A s s oc ia tion3. R ules of Ev idence C omm i t tee Jud icia l Conf er ence4. Board of Directors Minnes ota Law y er5.

    NAME 0F ORGANIZATIONfENTITYFriends of the Children Foundation

    I I . A G R E E M E N T S . rRo~,o~a.~ ~ . ~ i , ~ . , ~ o . ~N O N E ( N o reportable agreements .)

    1.20022.3.

    DATE P A R T I E S A N D T E R M SMinnes ota S ta t e J udge R e t i rement P lan - former employ er - no cont ro l

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    2/14

    FINANCIAL DISCLOSURE REPORTPage 2 o f 7

    N a m e o f P e r s o n R e p o r t in gErick~en , Joan N,

    Date of Report

    021/~011

    I l l . N O N - IN V E S T M E N T I N C O M E . t R o po rt i . ~ i ,, ,n , - i~ , u , ~ a , , d : ,~ , a u s e ; , ~ o r ~ . ~ ~ -uA. F i lers Non- lnves tment Income- -"1 N O N E ( N o reportable non-investment income.)

    DATE SOURCE AND TYPE INCOME(yoors, not s p o u s e s )l . J an 20 10 T eaching - Unive rs i ty of S t T hom as $9,000.002 . Aug 20 10 T each in g - U n ive rs ity o f S t T h o m as $ 9 ,000.003.4.

    B . S p o u s e s N o n - l n v e s t m e n t I n c o m e - I f yo u wer ~ m a r r i ed d u M ng a ny p o r t~ n of th ~ r por t ln g j~ar , comp& t lh h st~~o11~ amount no t required ~c~t for honor~a.)~ N O N E ~ o reporcable non-investment income.)

    DA~ SOURCE A~ ~EI.2.3.4.

    IV . REIMBURSEM ENTS -( I n c l u d e s t h o s e t o s p o u a e a n d d e p e n d e n t c h i l d r e n ," s e e p p . 2 5 - 2 7 o f f i li n g i n s t r u c ti o n s .)~ (No reportable reimbursements.)O N E

    S O U R C E1 . Nat ional Conf er ence o f Bar

    Examine r s" 2 . GW U n i v e r s i t y L a w S c h o o l3. Wil l iam Mi tchel l Co l lege o fLa w

    DATES LOCATION4-29-2010 Santa Fe, NM

    5-1 i -2010 Wash ing ton D.C.June 20 10 London , Eng land

    PURPOSEEvidence Dr af t ingC o m m i t t e eSy mpos iumT e a c h i n g

    I T E M S PAID OR P R O V I D E DT rans por t a t ion , mea l s , hote l

    T rans por t a t ion , mea l s , hote lTransportat ion, meals , hotel

    4. Nat ional Conf er ence o f Bar I I -11-2010 S t . T h o m a s , V i r g i n I s la n d s E v i d e n c e D r a f t in g T rans por t a t ion , mea l s , hote lE x a m i n e r s C o m m i t t e e5.

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    3/14

    N a m e o f P e r ~ o m R e p o r t in gP a g e F I N A N C I A L 3 o f 7 D I S C L O S U R E R E P O R T I Ericksen, J o a n N .

    V . G IF T S . a~, , ,ho,o ,o ,Z,o~ , , ..~ d~, .~ ,~ , ,~U~. ; , , , ~ . 2~ ~ ~ of f~ ~ ,~o ~.~N O N E ~ o r e p o r t a b l e g ~ s . )

    SO~CE DESCRI~ION1.2.

    3.4.5.

    VALUI~

    ( No rep or tab l e l i ab i l i t ie s . )ONEC R E D I T O R

    I. CountaTwide Bank

    2.3.4.

    5.

    MotagageDESCRIPTION VALUE CODE

    N

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    4/14

    F I NANCI AL DI S CL O S URE RE P O RTPa g e 4 o f 7

    N a m e o f P e r s o n R e p o r ti n gErlck~en , Joan N.

    D a t e o f R e p o r t04/21/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - in c o , ~ e . .l u e . ,n n , o c # o . , a n c l . d e , ,h o * e o f * v o n s o u . d d e p e , ~ e . , c h i l d r e n ; s e e p p . 3 4 - 6 0 of f r ing instruct ion~.)[~ N O N E ( N o r epor t ab l e i n com e , a s s e t s , o r t r an s ac t i on s . )

    A. B. C.D e s c r i p t i o n o f A s s e t s I n c o m e d u r in g G ro s s v a l u e a t e n d

    ( i n c l u d i n g l r u s t a s s e t ~ ) r e p o r t i n g p e r i o d o f r e p o r t in g p ~ r i o d(I) (2) (t) (2)

    P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., V a l u e V a l u ee x e m p t f r o m p r i o r d i s c l o s u r e Code I d i v . , r e n t , Code 2 M e t h od( A - H) o r i n t . ) ( J - P ) Code 3

    ( Q - W )

    (1 )T y p e ( e . g . ,buy , s e l l ,

    r e d e mp t i o n )

    Transac t ions dur ing repo~ t ing per i od

    (2) (3) (4) ( 5 )Da te Va lue Gain Id en t i t y of

    m m / d d / y y C o d e 2 C o d e I buyer /s e l ler( J - P ) ( A - H ) ( i f pr iva t e

    tr ansac t ion)

    2.

    3.4.

    5.6.

    7.8.9.1 0 .

    1 2 .

    14 .

    1 5 .

    1 6 .

    M i n n e so t a S t a t e R e t ir e m e n t S y s t e m -Judges Redr~ nen t PlanP u m a m I n t l C a p i ta l O p p o r t u n i ti es

    P u t n a m I m l C a p i ta l O p p o r t u n i ti es( P N V A X )P u m a m I n t l C a p i ta l O p p o r t u n i ti es(PNVAX)Vanguard Mid Cap Grow th (VOT)

    Vanguard Mid C a p V a l u e (VOE)Vanguard Mid Cap Value (VOE)Vanguard Grow th ( V U G )Vanguard Value (VTV)Oppenheimer lntl Bond (OIBAX)

    Oppenheimer Infl Bond (OIBAX)

    Oppenheimer Intq Bon d (OIBAX)

    Columbia High Yield (INEAX)

    ]nvesco G lobal Real Estate (AGREX )lnvesco G lobal Real Estate

    Franklin MN Tax Free ffMINX)

    Franklin HY Tax Free (FRHIX)

    None M TSold( p a r t )S o l d

    A Int./Div. J T BuyA Int./Div. J T S o l d( p a r t )A Int./Div. J T S o l d( p a ~ )

    Buy

    A Int./Div. K T BuyA Int./Div. K T Buy

    (addl)Buy

    (addl)S o l d

    B Int./Div. L T

    C lntJDiv. K TB Int./Div. K TA Int./Div. J TA Int./Div. K T

    A Int./Div. K T

    0 2 / 0 2 / I 0

    0 5 / 2 5 1 1 0

    0 2 / 0 3 / I 0

    0 5 / 2 5 1 i 0

    0 5 / 2 5 1 1 0

    0 5 / 2 5 1 1 0

    05/25/10

    05125/10

    0 5 / 2 5 1 1 0

    0 5 / 2 5 1 1 0

    J

    JJ

    JJ

    JJ

    J

    J

    K

    A

    A

    B

    C

    I. n c o m e G a i n C o d e s : A = $1,000 or less B = $1 ,001 - $2 ,500 C = $2.5O I - $5 ,000 D -$5 .001 . $1 $ .000(S ~ C o lum ns B I an d D 4 ) F -$50,001 - $100,000 G ~ S I00,00l - $1,000,000 HI =$1.000,001 - $3,000,000 H 2 =Mote ~han S5,000.000

    2. Valu e C odc~ J = $ I 5,000 o1 leas K = 515 ,001 - S50,000 L = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 O O M =S 100,001 $250,000(S ~ Col u m ns CI and D 3 ) N =S250.001 - $500,000 O =S500,001 - SI,000,000 PI =$1,000,001 - S5.000,000 P2 = S 5 , 0 0 0 , 0 0 1 - $2 5 ,000,000

    P3 =$25,000,001 - $ ~0.000.~00 p4 =More lhan3. Value Method C o d e s Q = Appr a i sa l R = C c~ ! (Real Estate O n ly ) S =A sse s smen t "1" =Cash M a r k e t

    (See C o l u m n C 2 ) U = B o o k V a l u e V - - O ~ h e r W =Estimated

    E ~ SIS , 0 0 1 - $ 5 0 .0 0 0

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    5/14

    FINANCIAL DISCLOSURE REPOR TPage 5 of 7

    Name of Pe rson Report ingE r i c k se n , Jo a n N.

    D a ~ e o f R e p o r ~04/21/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i.co,.,. ,.i.e. ,,..,.cao., a.cl.~e, those o y,po.,e ..d dependent children; see pp. 34-60 of fillng instruclions,)N O N E (No reportable income, assets, or trar~actions.)

    A. B. C. D.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G ro s s v al u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

    ( i n c l u d i n g t ~ r u s t a s s e t s ) ~porting period o f r e p o r t i n g p e r i o d(I) (2) (I) (2) (0 (2) (3) (4) (5 )P l a c e " ( X ) " a l te r e a c h a s s e t A m o u n t T y p e ( g . , V a M e Value T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i sc l o s u r e C o d e 1 d i v , , r e n t . C U d 2 M e t ho d b u y , s e l l , m m / d d / y y C od e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n 1 . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (ffprivate( Q - W ) t r a n s a c t i o n )

    1 8 .

    2 0 .2 1 .2 2 .2 3 .2 4 .25.26 .

    O ppe nhe i m e r Roc he s t e r Na t l M uM( O R N A X )Oppenhe imer D eve loping Mark e t s( O D M A X )Pimco C om modi ty R ea l R e tu rn S t ra t egy( P C R A X )l nves co G loba l R ea l Es t a te (AG R EX )UMB Scou t l n t l (UMBW X)i S h a r e s B a r c la y s T I P S ( T I P )Credit Suisse Commodity Return Strategy( C R S A X )i S h a r e s i B o x x I n v e s t - G r a d e C o r p ( L Q D )O p p e n h e im e r M a in S t r e et S m a l l C a p(OPMSX)

    A Int./Div.A lnt ./Div.

    B Int,/Div.

    A Int./Div.

    A Int , /Div.A Inl . /Div.

    None

    J

    K

    K

    J

    JJ

    TT

    TB uy

    (addl)T Bu y

    SoldT

    T

    T

    0 5 / 2 5 / I 0

    0 5 / 2 5 / I 0

    0 5 / 2 5 / I o

    J

    J A

    I . Income Gain Codes: A =S 1.000 or less O = S 1 . 0 0 1 - $ 2 ,5 0 0 C =52,501 - SLO00 O =$5,001 - 515,000(S e t Co lumn s B I an d D4 ) F =~50,001

    2 . Va lue Co & s J =$15,000 o* less K = S l~ ,0~ l . $5 0 ,000 L -SS0.001 - $1D0,0~O M =$100,00l - S250,000(S ee Co lumn s CI an d D3) N =$250 .00 1 - S50 0.000 O =$500.001 - $1.000 .00 0 PI =SI.000.0~ I - S5.000.000 P2 =S5.000.001 - $25.000.000

    P3 -$25.D00.001 - $50.000.000 P4 =Mo le than $50.000,0003. Vatu M ethod C odes Q = A ppra isal R =Cost {R eal Est ,~t Only) S = A s s ess ment T =Cash M ark e t

    (S e t Co lumn C2 ) U = Book V alu e V = O ther W = Estim ated

    E = 1 1 5 . 0 0 1 -

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    6/14

    FINANCIAL DISCLOSURE REPORTP a g e 6 o f 7

    N a m e o f P e r s o n R e p o r ti n gE r i c k s e n , Jo a n N .

    Date of Repor t04/21/2011

    VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    7/14

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    8/14

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    9/14

    FINANCIAL DISCLOSUR E REPORTPage 2 o f 7 Ericksen , Jonn N.

    A. FLiers Non-Investment Income~-~ (No reportable income.)ONE non-investment

    SOURCE AND TYPE INCOM E( y o u r s , n o t s p o u s e s )I . J a a 2 0 1 0 Teaching - University of St Thoma s $ 9 , 0 0 0 . 0 02 . A u g 2 0 1 0 Teaching - University of St Thoma s $ 9 , 0 0 0 . 0 03.

    4.

    B . S p o n s e t s N o n - In v e s t m e n t I n c o m e - I/y. ,~r~ m~rrled dating any pordon of lhe rrponing ycar, omplae t~is sectioa.( D o l la r a m o u n t no t required eJcept for honorari,z)I-~ NONE (No reportable non-investment income.)

    DATE S O U R C E A b r D T YP E1 .2.

    3.4.

    I V . R E I M B U R S E M E N T S - , , , , , ,. ,. 0 ,, , . , , ,~ o , , , t o , v , , : ,~ o o ~ . , , , , o r ~ , , , , ,, ,~( l n c l u d ~ t h a s t o s p a u s a n d d e p e n d c n t c h i l d r e n , " $ p p . 2 J - 2 7 o f f ! l in g I n s t r u c t i o n s . )~-~ (No repor tab le re imbursem en ts .)ONE

    SOURCE ~ LOCATION PURPOSE I___TEMS PAID O K P R O V I D E D!. National Conference of Bar 4-29-2010 S an ta F e, N M E vid enc e D ra f t ing Transpor ta t ion , mea ls , ho te lExaminet~ C o m m i t t ~2. G W Unive r s i t y La w Sc h oo l 5-11-2010 Wa s h ing ton D .C . S y m p o s i u m Transpor ta t ion , mea ls , ho te l3. Wil l i a m M i t c h e l l Co l l e ge o f Ju n e 20 10 London , E ng l a nd Teaching Transpor ta t ion , mea ls , ho te lL awa. National Conference of Bar I I -11-2010 St . Th om a s , V i r g i n I s l a nds Evidence Draf t ing Transpor ta t ion , mea ls , ho te l

    Exa m i n e r s C o m m i t t e e5.

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    10/14

    FINANCIAL DISCLOSURE REPOR TPage 3 o f 7

    Na m e a fP c non Re po r t i a gErickzen, Joan N.

    Date o f R e p o r t04/21/2011

    ~] N O N E ( N o repor table g i f ts. )SOURCE DESCRIPTION

    I.2.

    3.

    4.

    5.

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

    I. C o u n u y w i d e B a n k2.

    3.4.

    5.

    M o r t g a g eDESCRIPTION VALUE CODE

    N

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    11/14

    F I N A N C IA L D I SC L O SU R E R E P O R TPage 4 o f 7 IEm e of Persou R e p o r l ~ gr i ck s en , J oan N . D a t e o f R e p o t 204/21/2011~.. (No reportable income, assets, or transactions.)O N E

    A. B. C. D.Description of Assets Incom e d u~ ng Gross valu e at end Transactions du ring r tp orting period

    ( inchu l ing t rust ~ s c ~ ) t * e p o r t i n g p e r i o d of re~orting period(i) (2) (I) (2) (I) (2) (3) (4) (~ )

    P l a c e " ( X ) " a l ~ e a " e a c h a s s e t Amount T y p e ( e . g ~ Valu e Valu e Type (e.g~ D a t e Value Gala I d e n t i t y o fexempt f rom pr io r d isc losure Code I div.. r tat . Code 2 Method buy, sell , m m /d d/yy C od e 2 Code I buyer/sel lor(A-H) o r i n t . ) ( J - P ) Code 3 r ~ ! c m l Y , i o n ) ( J - P ) (A-H) ( i f p r i v a t e

    (Q -W ) a a a s ~ i o n )

    Minnesota Sta te Retirement System -Judges Re t i remen t PlanPutnam Intq Capita l Opportuni t ies

    Pu tnam ln t l Cap i t a l Oppor tun i t i es(PNVAX)Pu tnam ln tq Cap i t a l Oppor tun i t i es(PNVAX)V a n g u a rd M i d C a p G r o w t h ( V O T )

    Vanguard Mid C ap Value (VOE)V a n g u a rd M i d C a p V a l u e ( V O E )

    8. Vangua rd Grow th (VUG)9. V a n g u a rd V a l u e ( V T V )10 . Opp enhe ime r In t l Bond (OIBAX)l I. O p p e nh ei m e r I nt l Bo n d ( O IB A X )1 2 . Opp enhe ime r In tq Bond (OIBAX)] 3 . Co l u m b ia H i g h Y i e l d ( I N E A X)1 4 . Invesco Globa l Rea l E s ta te (AGREx)1 5 . lnveso Global Real Estate1 6 . Frank l in MN Tax Free f fMINX)1 7 . Frank l in HY Tax F ree (FRH IX)

    N o n e M

    A { ln t , /Div.

    A ! In t . /Div .

    A lnt./Div.

    A ln t . /Div.

    A ln t . /Div.

    B In t . /Div .

    C Int./Div.

    B In t . /Div .

    A In t . /Div .A In t J D iv .

    A!

    ln t . /Div.

    J

    J

    J

    KK

    L

    KKJKK

    T

    T

    T

    T

    T

    TTTTTT

    S o ld

    S o ldB uy

    SoldSold(par t )Bu yBu yBu y

    (add l )Bu y( a d d l )Sold

    02/02 /10

    05 /25 /1002/03 /1005/25110

    05 /25 /1005 /25 /1005 /25 /100 5 / 2 5 / 1 0

    0 5 / 2 5 / 1 0

    0 5 / 2 5 1 1 0

    J

    JJ

    JJJ

    JJ

    JK

    rA

    A

    1 1 ~ c o m G a i n C o r l ~ : A -$1,000 or

    3. Vd~ Mcth~ ~es Q =Ap~i~} R~ (Real E~s~ Only) S -As~mcnt

    =$3,0OI - $15.000=M o r t ~ S $ , 0 0 0 , 0 0 0

    =$10 0 . 0 0 1 - $ 2 ~ 0 . 0 0 0- - ~ 5 . 0 0 0 . 0 0 1 -

    -Cts~ Marke t

    E =513,001 - 550.000

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    12/14

    F I N A N C IA L D I SC L O SU R E R E P O R TPage 5 o f 7

    Name of Penon ReportingE r i c l o e n , J o a n N .

    Date of R e p o r t04/21/2011

    VH. INVESTMENTS and TRUSTS -N O N E ( N o reportable income, assets, or transactions.)

    A. B. C.D e s c r i p t io n o f A s s c L s Income dur ing G r o s s v a l u e a t e n d( including t r im m.~a) r e p o t r h $ p e r i o d o f r t p o r t i n g p e r i o d

    (i) (2) (D (2)P l ~ e " ( X )= al~er each asset A m o u n t T y p ~ ( e . g . , V a lu e V a l u ee x e m p t f r o m F r i o r d i s c l o s u r~ Code I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C O d 3( O - W )

    (i )Ty~ (e .g. ,b u y ,r~ lempf ion)

    T r a n s a c t i o n s d u r i n g r e p o t t i n g p e r i o d(~) O) (4)D a t e Value G a in I d e n t i t y o fm m / d d / y y C o d e 2 C o d e I b u y ~ / s ~ l l ~

    ( J - P ) ( A - H ) ( i f p r i v a t e

    1 8 .1 9 .

    : 2 0 .2 1 .2 2 .2 3 .2 4 .2 5 .2 6 .2 7 .

    1 2 8 .2 9 .3 0 .

    Oppenhe ime r Roches te r Na i l Mtmi A ln tJDiv. JOppenhe ime r Deve lop ing M arke t s A IntdDiv. K( O D M A X )Oppenhe ime r Deve lop ing M arke t s( O D M A X )P i m c o C o m m o d i t y R e a l R e t u r n S t r a t eg y B Int . /Div. K( P C R A X )I n v esco Glo ba l R ea l Es ta t e (A GR EX )

    UMB Scou t I n t l (UMBW X) A lnUDiv .

    TT Bu y 04/29110

    Bu y 07/13110(add l )T

    Buy 0 5 / 2 5 1 1 0( a d d l )

    T B u y 0 5 / 2 5 / I 0

    J

    J

    J

    J

    i S h a r e s B a r c l a y s T I P S ( T I P ) A IntJDiv. J T So ld 05/25/10 JC r e d i t S u i s se C o m m o d i t y R e t u rn St ra tegy A I n t , / D i v .( C P , S A X ) TiSha re s iBoxx Inves t -Grade Corp (LQ D) A Int . /Div. JO p p e n h e i m e r M a i n S t r ee t S m a l l C a p None( O P M S X )Am e r i p r i s e M one y M a rke t A Interest

    JJ

    TT

    F i d e l i t y A d v 5 2 9 2 0 1 0 C None K TM inne s o t a De fe r r e d Cu t up P l a n Distributed 01/04/10 L

    B -$ l ,OOI $2 ,500G -5100,0e l - $ 1 , 000 , 000K - $ 15 ,001 - $ 5 0 . 0 0 00 -S500,00l - Sl.OOO.O00R =~ os t ( R e a l E s t a t ~ O n l y )V

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

    E - $ 1 5 . 0 ~ I -

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    13/14

  • 8/3/2019 Joan N Ericksen Financial Disclosure Report for 2010

    14/14

    F I N A N C IA L D I SC L O SU R E R E P O R TPage 7 o f 7

    ~am e of Person Report ingE r ic kse n , Joa n N.

    Date of Repor l0~ /21~2011

    IX. CERTIFICATION.I c e r t i f y tha t i l l I n f o r ma t ion g ive n a bove ( inc lu d ing I n f o r ma t ion p e r ta in ing to my sp ou se a nd mino r o r d e p e nd e n t h l ld r e n~ i f a ny ) I sa c c u r a t e, t r u e , a n d c o m p l e t e t o t h e b es t o f m y k n o w l e d g e a n d b e l i e f , an d t h a t a n y I n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e ca u s e i t m e t a p p l i c a bl e s t a t u t o r yp r o v 4 s i o n s p e r m i t t in g n o n - d i s c lo s u r e .I f u r t h e r c e r t i f y t h a t e ar n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c ep t a n c e o f g i f t ~ w h i c h h a v e b e en r e p o r t e d a r e I nc omp l i a nc e w i t h t h e p rov i~ | on~ e f S U . S . C . a p p . 5 0 1 a t . ~ e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

    Signature

    N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LAND CRIM INAL SANCTIONS (5 U.S.C. app . 104)

    Comm ittee on Financia l DisclosureAdm inistrative Office of the United States CourtsSuite 2-301One Columb us Circle , N.E.W ashin gton, D.C. 20544