ralph r erickson financial disclosure report for 2009

8/3/2019 Ralph R Erickson Financial Disclosure Report for 2009

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Report Required bl the Ethics, ~ o t o [FINANCIAL DISCLOSURE REPOR T ~ n

R e , ,. 1 / 2 0 J 0 FOR CALENDAR YEAR 2009 0 u . s .c , a p p . ~1. Perk.on Reporting (last name. f t r ~ , middle mitiM) 2. C~urt or Organization 3. Date of Report

Ericksot~ Ralph IL District of North Dakota 05I 10/2010

4. Title (Article I11 judges indicate ac tive or senior statu~; 5a. Report Type (chec k appropriate type) 6. Reporting Periodmagi~t~te j adges indicate full- or part-time) 01/01/2009] Nomination, DateUS DistrictJudge-oActive [] Initial [] Annual [] Fml to12/31/2009

5h. ~ Amended Repor~7. Chamber~ or Off ice Add rg~l; 8. On the ba~i~ of the Information centained in this Report and anymodifications pertaining thereto, it |~, in my eptniun, in complianceQuentin Burdick US Courthouse with applicable la~,~ and regulations.655 1st Ave. N., See. 410Fargo, ND 58102..4952 Reviewing Off icer Date

I M P O R T A N T N O T E S : The instruction~ accompanying this form must be followe~L Complete all parts,checking the NONE box for each part whcre you have no reportable information. Sign on lust pag~

I. POSITIONS. ~omn~n~i~a~.~~ NONE (No repo~able positions.)

POSI~ON N~ OF ORGA~ZATION~1. T~stee T~st #1

I I . A G R E E M E N T S . ( ~ o ~ o , , ,~ individual onl~ see pp. I~i 6 of fili~ i~uc6on~) ~ ~ ~~~ NONE (No reportable a~eemen~.)

PARSES A~ ~S

2. ~15~3 NDPERS Coun~ Retirement Plan

3. 1102105 NDPERS S~tc Judicial Retirement Plan

4. 12~1/96 457~) PI~ Sm~ ofNo~ DakoM


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Name of Perton Reporting Date o [ ReportFINANCIAL DISCLOSURE REPORT Erleksoa, R a lp h R . 0~/10/2010Page 2 of 10

I I I. N O N - IN V E S T M E N T I N C O M E . tl~por~i.g iadi~i,tua! and sl~*e;A. Filers Non-Investment IncomeN O N E (No reportable non-investment income.)

D A T E SOURCE AND TYPE ~COME(yours, not spouses)1.

2.

3,

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during ampartion of the repordng year, complae thi~s~tion.(Dollar amount not required ~w.ept for honoraria.)~-] NONE (No reportable non-investment income.)

D A T E SOURCE AND TYPE1. 12/31/2010 Self-employed Optometrist

2.3.4.

(~ncludes those to spouse and dep~nden! children: see pp. 25-27 of.filing tn~mctiun~.}[ N O N E (No reportable reimbursements.)SOURCE D A T E S LOCATION PURPOSE IT EM S P A ID O R P R O V ID ED

1.2.3.4.5.


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FINANCIAL DISCLOSURE REPORT N .... fPerson Reporllng D,teof ~po. Iage 3 of 1 0 Erickson, R a l ph I L 0 5 / 1 0 / 2 0 1 0V . G I F T S . a ,a , a , ~ ~ o ~ , o , p o , ~ o o , ~ a ~ , o , ~ e , a c h ~ , ~ , ; ~ v : . ~ - ~ o : : t ~ , ~ i~ , a ~ , .~

N O N E (No repo~able ~fis.)

1,2.3.4.5.

[] N O N E ( N o reportable liabilitiz~.)C R E D I T O R ~ V A L U E C O D E

1 .2.3.4.5.


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Name or Pergon Report|rig Date of ReportFIN /LN CIALpage 4 of i0 DISCLOS~ ~PORT [ EricSon, Ralph R, 0 5 / ] 0 1 2 0 1 0

N ONE ~o reportable income, assets, or tra~actio~.)De~o~o~ of A~ ~ lgcomc during G~ value at end T~aa~ions d~ing ~o~ing ~od(incl~mg ~ as~) ~ reining p~fi~ of ~po~ing p~od

~ (I) I (~) (1) ~ (2) ()) [ {2) ~ (3) ; (4)Placc~)"aft~e~ ~Amount T~c(e.g., Val~ ~ Value T~e(e.g., [ Date Value : G~in /dcnti~of~ C~e I ~ d i v . , ~ n t , C~c 2 : M e t h o d buy, sell. i m~dd /~, . Co~ 2 ~ C~e I ~ycr/~l[erexempt ~m ~ior d~ci~ ~ ( A - H ) ~ ~,~ ~ or i~.) ( J - P ) . C o d e 3 r e d e m p t i o n ) ~ * " ( J - P ) [ (A-H) ~ i o n ) ( i f p f i v a t c

1. A W S H X A Dividend J T

2. Lsi Logic Corp. None J T

3. lntel, lnc., common stock A Dividend J T! 4 . Alcatel Lucent common stock None J T

5. Oakmark Select, m utual fund A Dividend ! T

6. Proctor & G amble, common stock A Dividend J T

7. Wclls Fargo & Co., common stock A Dividend J T8, PIMCO H igh Yield Fund #108, Alerus A Dividend Sold 02/17/09 JFinancial (SEP IRA) PH IYX

! 9 . Federated Total Return Bond fund 328 A Dividend B uy 02/19/09 J

1 0 . Federated Total Rclxtm Bond Fund 328 None B uy 04!06/09(addl)1 I. Federated Total Return Bond F und 328 None B uy 04/24/09(addl)1 2 . Federated Total Return Bond F und 328 None B uy 06104/09(addJ)1 3 , Federated Total Return Bond F und 328 None B uy 07/09/09(addl)1 4 . Federated Total Return Bond F und 328 None B uy 08/04109(addl)1 5 . Federated Total Return Bond Fund 328 None B uy 0 8 1 1 0 1 0 9(addl)1 6 , Federated Total Return Bond Fund 328 None B uy 10/06/09(addll1 7 . Federated Total Return Fund 328 None B uy 12/21/09( a d d J )

(S~ Colum~ CI m~ D3) N =S250,~I - S~00.0~ O =$500.001 - $I.~,~ P I =$ t,~,~ I - S5.~0.~0 P2 =S5,~.~!


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FINANCIAL DISCLOSURE REPO RT r ~ a ~ , , o r e . . . . . R . p o . t , . g ~ . t . o r R , p o , ~Page 5 of 1 0 Erickson, R a l p h R . 0 5 1 1 0 ~ 0 1 0

NONE income, assets, or tramactiom.)N o reportableA. B. c. D.Desc~ption of As~ I~ome d~ng Or~s ~[uc at end T~sactions du~ng r~oning(including ~st ~sets) ~ing period of ~ing p~od

Pla=~=(X)"a~cha~et ~&~unti T~(e.g., Valu~ V~e T~(e.g.. ~ D~ Val~ ~ Gain~ ldenti~of~emptfromp~ordi~lo~e ~ C~I , div.,~k Code2 Meted ~y, seI[, Im~d~yy C~e2 ~ ~e l b~/sellcr~ o r i n t . ) ( J - P ) ~c 3 ~c~ti~) ~ (J-P) ~ {A-H ) ( i f p r i v a t e

Fcdemt~ Total Return F~fl 328 None Sold 1~1109 J

1 9 . Federated Kaufmann Sm all Cap Alerus SEP None Sold 0 1 1 2 1 1 0 9IRA SEP IRA FKASX (part)20. Federated Kaufmann Sm all Cap Alerus SEP None " Buy 04/21/09(addl)2 1 . Federated Kaufmann Sm all Cap Alerus SEP Sold 0 5 / 2 9 1 0 9

2 2 . Goldm an Sachs Real Estate Securities Fund A D ividend B uy 01/06/09 J#639 SEP IRA GILEIX (addl)23. Goldm an Sachs Real Estate Securities Fund None B uy 02!19/09 J(addS)24. Goldm an Sachs Real Estate Securities Fund None Sold 11/17/09 J

2 5 . Pimco C o m m o d i t y R e a l R e t u r n S t r a te g y A D ividend Sold 12/21/09Fund Inst. #45 SEP (pan)2 6 . Pimco Commod ity Real Return Strategy Sold 1 2 , r 3 1 / 0 9 JFund27. Vanguard 500 Index Signal Shares Fund A Dividend BuY 12/21/09 J1340 (Alerus SEP) taddl)28. Vanguard 500 Index Signal Shares F und Sold 1 2 1 3 1 / 0 9 L134029. Fidelity Investors Diversified Int. Fd. A lerus: A Dividend B uy 0 1 1 0 6 1 0 9 JSEP FDVIX (addl)3 0 , Fidelity lnvcstorg Diversified Int. Fund B uy 02/19/09 J(addl)31 . F idelity Investors D iversified Int. F und B uy 04/06/09 J(addl)3 2 . Fidelity Investors Diversified Int. Fund Bo y 04/21/09( a d d q )3 3 . Fidelity Investors Diversified Int. Fund Sold 07/22/09 K34 . Fidelity Advisor intl. Discovery. Fund ] A Dividend B uy 07/07/09 .1

Value C~es J


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FINANCIAL DISCLOSURE REPORT ~ .... r P e r . e n R e p o r t i n g D , t e o f R p o r tPage 6 Of 10 Erickson, Ralph R. 05/10/2010

VII. IN VESTMEN TS and TRUSTS - ~co~,N 0~ ~o reportable income, assets, or tra~actions.)

A. : B. C. D.Desc~pfi~ of As~(inclu~ ~st resets) ~ reporting p~iod of ~oRing ped~Place "(X)" a~er ~ch asset t ~o~: ~ T~ (~.g., Valu~ V~u~ T~ (e.g., ~ Date ~ ,V~u: ~, Ga~ ld~a~ of

exempt ~om prior ~glosme i ~c I ~ div.,~L C~c2 M e t h o d bu),~l[. ~m~d~ [ Code2 I C~e I b~cr/scllrr~ {A-H) i ~int.) ( J - P ) Co~ 3 ~pti~) O - P ) ~ , ( A - H ) ( i f p r i v a t e( Q - W ) ,, ~ ~t~on)

35 . Fidli~ Advisor Intl. Discove~ Fund 1 B uy 07~2/09 K3 6 . Fideli~ Adv isor Intl . Dis~w~ Fund I Sold 1~1/09 J A3 7 . Fidcl i~ Ad~sor ln~. Dis~v~ F~d 1 Sold 12~1/09 J A3 8 . N orthern lnsmtionalFunds Prime A I n t e r e s ~ M T B uy 1 2 / 3 1 1 0 9 MObligations Alerus SEP (addl)3 9 . Dimensional US Small Cap Value Fund A D ividend B uy 0 2 1 1 9 / O 9 J(A lerus SEP) (addl)40, D imensiorml US Small Cap Value Fund B uy 0 3 1 1 9 1 0 9 J(A1erus SEP) (addl)41. D imensional US Small Cap Value F und Sold 04/15/09 J(Alerus SEP) ( , p a r t )42. Dimensional US Small Cap Value Fund Bu3 06/19109 J( A l e m s SEP) (addl) .4 3 . Dimensional US Small Cap Value Fund Sold :07:21/09 J(Alerus S E P ) (part)44 . Dimensional US Small Cap Value Fund Sold i 1 0 : 2 0 / 0 9 J( A l c r u s S E P ) ( p a r t )45. Dimen sional US Small Cap Value Fund Sold 1 2 / 2 1 1 0 9 J(Alerus SEP) (pan)

i46, Dimensional US Small Cap Value Fund Sold 1 2 1 3 1 / 0 9 K(Alcrus SEP)~7. Janus A dvisor M id Cap G rowth (A letus SEP Sold 01121/09 J)I ( p a r t )48. Janus Advisor Mid Cap Growth (Alcrus A D ividend M erged 0 7 / 0 6 1 0 9 KSEP) 1 (with line 49 )49 . Janus Enterprise Fund CI 1 A Dividend Open 0 7 / 0 6 1 0 9 K

5 0 . Janus Enterprise Fund C I I S o l d 1 2 / 2 1 1 0 9 J( p a r t )5 1 . Janus Ente~risc Fund C] 1 Sold 1 2 1 3 1 / 0 9 K

t Income Gain Codes: A -$1,000

(S~ Colu~ C2) U ~B~ Val~ V ~O~ W =~mamd


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F I N A N C I A L D I SC L O S U R E R E P O R T r ~ a , ~ e o t P a n o a a e p o ~ t l .~ [ r a t ePage 7 of 10 Erick~an, Ralph R.[

0 5 / 1 0 ~ 2 0 1 0

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,~., ~n~..,, . . . . . ~ o , , , ( l n d u d t s t h o s e o f s p o u s e a n d a e 4 , e n d e m c l a t , tr ~ n t , ee p p . 3#-~o n / f i l l n g~-~ (No reportable income, assets, orON E transactions.)

A. B. C. D.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 i n g G r o s s v a l 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 l r u s t a s s e t s ) r e p o m n g p e r i o d o f r e p o r t in g p e z S o d

(D (2) (1) (2) (1) : (2)II O) I (4)Placc(Xl"afternachasset I A m o u n t Type(e.g., Value Value Type(e.g., I Date i Value ; Gain ldentityofe x e m p t f r o m p r i o r d i s c l0 s u r e [ C o d e I d i v . , r e n t , Cod2 M e t h o d buy, sell. imm!ddlyy ! Cod2 i Code I b u y e r / s e l l e r

~ ( A - H ) ( i f p r i v a t e(A-H) orint.) ( J - P ) C od e 3 r e d e m pt i o n ) l i ( J P )

5 2 . Riversource Mid Cap Value R5 (Alerus A Dividend Sold 12/21/09 JSEP) (part)5 3 . Riversouree Mid Cap Valuc R5 (Alerus A Dividend Sold 1 2 1 3 1 / 0 9 KS EP)5 4 , Buffalo Small Cap FD Inc. (Alerus Sop) A Dividend B uy 0 5 1 1 9 1 0 9 J5 5 . B uffalo Small Cap F D lnc. (A lerus SEP) B uy 0 1 1 2 9 1 0 9( ~ d d ~ )56. Buffalo Small Cap FD Inc. (Alcrus SEP) Sold 07/21/09( p a r t )57. B uffalo Small Cap FD inc. (A lerus SEP) B uy 09/04/095 8 . B u f f a l o S m a l l C a p F D I n c . ( A ] c r u s S E P ) B a y 0 9 / 2 1 / 0 9(addl)59 . Buffalo Small Cap FD Inc. (Alerus SEPI B uy 10/06/09(addS)6 0 . B uffalo Small Cap F D inc. (A lerus SEP) B uy II/19/09(addI)6 1 . Buffalo Small Cap FD Inc. (Alcrus SEP) B uy 12/04/09(addl)62. Buffalo Small Cap FD lnc (A lerus SEP) Sold 1 1 2 / 2 1 / 0 963 . Buffalo Small Cap FD lnc (A lerus SEP) Sold 12/31/09( > 4 . Cohen & Steers lnstitmional Global Realty A Dividend B uy 10/06/09 JFund Class 165. Cohen & Steers Institutional Global Realty B uy 12/21/09 JFund Class I66, Cohen & Steers Institutional Global Realty A Dividend Sold 12/31/09 JFund Class I67. Federated Capital Rose,we Fund. State Bank A Interest K T& T rust (X) 401K6 8 . ING Aetna 457(b) ING (Actual VP lndcx A I n t . . r D i v . K TPlus Large Cap.

{Sen Co[~ C2} U =B~k Value V -Other


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FINANCIAL DISCLOSURE REPORT r~ .... rr ..... R . p o . i .g t)., . .ra~o.Pag~ 8 Of" 10 Erickson, Ralph R. 05II 0..2010

V I I . I N V E S T M E N T S a n d T R U S T S - i. ....... ~. t ..... t i a n s ( I . c t M ~ s those of spo .... d depeM~nt children: ~eeHOHE ~o reportable income, assets, or transactio~.)

A. B. i C. D.~scr~p~on of As~ ~ "Income during ] Gross v~e at end T~sac~ons ~ng r~ing p~od(including ~s~ ~sets) reporting p~i~ [ of r~ning p~

[ (I) (2) " (1) {2) (1) [ (2) ~ (3).... I V~uc V~ T~ (e.g. ~ Datc ~ Vslue . G~n l d m t i t y o fA . I C~e2 M eth~ b~.~ll, im~dd! .~Code2 ~C~e 1 ~yerl~lI=x~pt ~om ~ior ~sct~ ~ CMc 1 [ div,, ~nL i~ (A-i!) [ or int.) [ (J-P) Code 3 r~emption) I I (J-P) " (A-H) (if private

69 . ING A~4~7(b) Fidli~ YIP GrB~ A InUDiv. K TPo~folio 10970 . ~G Acma 457(b) T.Rowe ~cc MC A Int.~iv. J TGr-lnit~971 . ING A~ma 457~) Oppc~eim~ Global A Int,~iv. J TPt-lnit~3272 . Gate Ci~ Savings-Savings Account A lnt~r~t J T7 3 . D i g i t a l B r o a d c a s t C o r p o r a t i o n N o n e J W74. Phoenix Life Insurance Policy Trust #I D Int./Div. Distributed 12/29/09 M75. Guardian Insurance Trust #1 M T B u y 12/29/09 M7 6 . Guardian Insurance .-] Life Insurance D Dividend L TCash Value)7 7 . Guardian Insurance(Cash Value) C Dividend L T78. Guardian Insurance (Cash Value) C Dividend K T79. Jackson National Life,~Life A I n t e r e s t J TI n s u r a n c e )

1 . I n c o m e G a i n C o d e ~ : A - $ I , O ~ ] o r h e s s B -$1,0OI - $2,500 C = . g 2 , 5 0 1 - $ 5 . 0 f l 0 D ~5.001 $15.000 E = S 1 5 . 0 O I - . 5 5 0 . 0 0 0(g~ Cotumn.~ BI and 134) F - $ 5 0 , 0 0 1 - $ 1 1 ~ 0 , 0 0 0 G -$ 100,D01 -$1.000,000 H I ~ S ] .0 0 O .0 0 l - $ 5 , 0 0 0 ,0 0 0 H 2 = M o re th an $ 5 . 0 0 0 ,0 0 02 Yal~e C ~ d e i J -$15,000 or ] e ~ t K =SIS,001 - $50,000 L =$50,001. $ !00.000 M -$ 100.001 .(Set Columns C I ,nd D3 ) N = ~ 2 5 0 . 0 0 1 - $ 5 0 0 . 0 0 0 O = $ 5 0 0 , 0 0 1 - $ 1 ,0 0 0 , 0 0 0 P I = S I , t Y J O . O 0 1 - $ 5 . ~ 1 0 . 1 ~ q P 2 = ~ 5 . ( ~ 0 . 0 0 1 - $ 2 5 . 1 ~ 0 . 0 0 0P3 -$25,000.001 . $50.000,000 P 4 = M o r e th a n3. Value Method Coder Q ~ A p p r a i s al R = C o s ! ( R e a l E X m l e O n l y ) S = A ~ s e s s ra e ~ l t T --Cash Market(See Colarma C2) U ~Book Value V =Other W =Ettim~led


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FINANCIAL DISCLOSURE REPO RT r ~ a m ~ o f ~ . . . .. . ~ p o , ~ t * g Iage 9 of 1 0 ~ r l ~ k s ~ n , a a lp h R . 0 5 / ~ O , 2 0 1 0VII! . ADDITIONAL INFORM ATION OR EXPLANATIONS.

VII Investments and Trusts. Lines 9 through 18. Federated Total Return Bond Fund 3 28. Various amounts of shares were bought and sold on the da tes indicatiedThe entire holding was liquidated on December 31 , 2009 as is indicated in line 18. All holdings in the SEP w~dated and Wansferred to the N ortl~rnInstitutions Prime Fund s Prime Obligations Account as ind icated on Line 3 8 in anticipation of restatement ol .... I retirement plan.VII. Investments and Trusts. Lines 19 through 21. Fcde rat.ed Kaufman Sm all Cap Fund. Various amounts ofshares were bought and sold on the dates indicated.The entire remaining holding was liquidated on May 29, 2009 as indicated on Line 21.VII. Investraents and Trusts. Lines 22 through 24. Gnldma n Sachs Kc al Estate Securities Fund. Various amounts of shares were bought and sold on the datesindicated. The entire remaining holding was liquidated on Nov ember 17, 2009 as indicated on Line 24.VII Investments and Trusts. Lines 25 through 26. Pimco Comm odity Real Return Strategy Fund Various amounts of shares were sold on the dates indicated.The entire holding was liquidated on December 31 , 2009 as is indicated in line 26. All holdings in the SEP w~dated and transferred to the N orthernInstitutions Prime Funds Prime Obligations Account as indicated on Line 38 in anticipation of restatement oI~ lretirement plan.VII Investments and Trusts. Lines 27 through 28. Vanguard 500 Index Signal Shares Fund . Various amounts of shares were bought on December 21,2009,The entire holding was liquidated on Dec ember 31. 2009 as is indicated in line 28. All holdings in the SEP were linuidated and transferred to the N orthernInstitut ons Prime Funds Prime Obligations Account as ndicated on Line 38 in anticipation of restatement o[, . I retirement plan.VII Investments and Trusts. Line~ 29 through 33 . Fidelity Investors Diversified International Fund. Various amunnt~ of shares were bought and sold on thedates indicated. Th e entire holding was liquidated on Dec ember 31,2009 as is indicated in line 33. A ll holdings in the SEP were liquidated aud transferred to theN orthern Institutions Prime Funds P rime Obligations Account as indicated on Line 3 8 in anticipation of restatement or] ret rement plan.VII Investments and Trusts. Lines 34 through 37. Fidelity Ad visors International Discovery Fund 1. Various amounts of shares were bought and sold on thedates indicated. Th e entire holding was liquidated on Dec ember 31. 2009 as is indicated in line 37. All holdings in the SEP were liquidated and transferred to theN orthere Institutions Prime Funds Prime Obligations Acco unt as indicated on Line 3 8 in anticipation of restatement o ~ retirement plan.VII Investments and Trusts. Lines 39 through 46. Dimension al US Small Cap Value Fund . Various amounts of shares were bought and sold on the datesindicated. The entire holding was liquidated on D ecember 31, 2009 as is indicated in line 46. A ll holdings in the SEP w~__..~.~uidated and transferred to theN orthern Inst tutions Prime Funds P rime Obl gat uns Account as indicated on Line 3 8 in anticipation of restatement ol~ retirement plan.VII. Investments and Trusts. Line 48. Janus Advisor Mid Cap Growth Fund was exchanged for Janus Enterprise CI I on July 6. 2009.VII Investments and Trusts. Lines 49 through 5 I. Janus Enterprise CI 1 Fund. Various amounts of shares were bought and sold on the dates indicated. Theentire holding was liquidated on Dec ember 31,2009 as is indicated in line 5 I. All holdings in the SEP were liquidated and transferred to the N orthern InstitutionsPrime Funds Prime Obligations Account as indicated on Line 38 in anticipation of restatement oH : ] retirement plan.VII Investments and Trusts. Lines 54 tinough 63. B uffalo Small Cap FD Inc.. Various amounts of shares were bought and sold on the d ates indicated. Theentire holding was liquidated on D ecember 31. 2009 as is indicated in line 63. All holdings in the SEP were liquidated and transferred to the Northern InstitutionsPrime Funds Prime Obligations Account as indicated on Line 38 in anticipation of restatement of retirement plan.VII Investments and Trusts. Lines 64 through 67. Cohen & Steers Institutional Global Fund. Various amounts of shares were bought and sold on the datesindicated. The entire holding was liquidated on Decem ber 3 I, 2009 as is indicated in line 67. All holdings in the SEP we~_L.~uidated and transferred to theN orthern Institutions Prime Funds Prime Obligations Account as indicated on Line 38 in anticipation of restatement of retirement plan.VII. Investments and Treats. Lines 74 and 75. Section 1035 exchange between Phoenix Life Insurance and G uardian Mutual took place on Dec ember 29. 2009.


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[~amef Person Report|n~ J D n t e o f R ~ p o r zISCLOS~ ~PORTPage 10 of 10IX. CERT~ICATION.

I certify that all information given above (including information pertaining lo my spouse and minor or dependent children, if any) isaccurat~ true, and complete to the best of my kn owledge and belief, and that an) information not reported was withhd d because l! m et applicable statutoryprovisions permitting non-disclosure.

1 further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance w ith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353 , and Judicial Conference regulations.

N OTE: AN Y IND IVIDUAL WH O KNOW INGLY A N D WILFULLY FALSIFIES OR FAILS TO FILE TH IS REPORT MAY B E SUBJECT TO CIVILAN D CRIMIN AL SAN CTIONS (5 U.S.C. app. 104}

F I LI N G I N ST R U C T I ON SM ail signed original and 3 ad ditional copies to:

Comm ittee on Financial D isclosureAd ministrative Office of the Un ited States CourtsSuite 2-301One Columbus Circle, N .E.Washington, D.C. 20544

ralph r erickson financial disclosure report for 2009

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