!. 010 Report Required by the Ethics in Government ct of 1978 kev. 112007 FOR CLENDR YER 2006 (5 U.S.C. app. 101-111). Person Reporting (last name, first, middle initial) Court or Organization Erickson, Ralph R District of North Dakota 05/11/2007 itle (rticle judges indicate active or senior status; magistrate judges indicate full- or part-time) US District udge--ctive Sa. Report ype (check appropriate type) D Nomination. Date D nitial nnual D Final 6. Reporting Period 01/01/2006 to 12/31/2006 7. Chambers or Office ddress Quentin Burdick US Courthouse 655 sl ve. N., Ste. 410 Fargo, ND 58102-4952 Sb. D mended Repon 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date MPORN NOES: he instructions accompanying this fonn must be followed. Complete allparls, checking the NONE box for each part where you have no reportable information. Sign on last page.. POSONS. (Reporting individual only; see pp. 9-13 of instructions.) D NONE (No reportable positions.) POSON NM OF ORGNZON/ENY. Personal Representative Estate # rustee rust#2,. C = c-::-.> ---' {,.., (") 3:: :: r,, rn C) -- -<. GREEMENS. (Reporting individual only; see pp. () 14-16 of instructions.) (;". ;.:: c:: 5" ['.) rn ;,:; :: 0 NONE (No reportable agreements.) ; : 1c") c-1.c:... <.. )> : ; m PRES ND ERMS 0. 1/15/88 401 Ohnstad wichell, P.C. '., C) 2/15/93 NDPERS County Retirement Plan 1102105 NDPERS State udicial Retirement Plan 12/31196 457(b) Plan State of North Dakota
Page 2 of 7 Erickson, Ralph R 05/11/2007. NON-NVESMEN NCOME. (Reporting individual and spouse; see pp. 17-24 of instructions.). Filer's Non-nvestment ncome ( NONE (No reportable non-investment income.) SOURCE N YPE NCOME (yours, not spouse's) B. Spouse's Non-nvestment ncome - f you were married during any porton of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE N YPE 12/31/06 Optometrst--Self Employed V. REMBURSEMENS --transportation, lodging, food, entertainment. (ncludes those to spouse and dependent children. See pp. 25-27 of instructions.) ( NONE (No reportable reimbursements.) SOURCE DESCRPON
Page 3of7 Erickson, Ralph R 0511112007 V. GFS. (ncludes those to spouse and dependent children. See pp. 28-31 of instructions.) [R NONE (No reportable gifs.) SOURCE DESCRON VLUE V. LBLES. (ncludes those of spouse and dependent children. See pp. 32-33 of instructions.) [R NONE (No reportable liabilities.) CREDOR DESCRON VLUE CODE
Page 4of7 Erickson, Ralph R 05111/2007 V. NVESMENS and RUSS -- D NONE (No reponable income, assets, or transactions.). Description of ssets (including trust assets) income, value, transactions (ncludes those of the spouse and depe11de11t children. See PP 34-60 of filing instructions.) B. c. D. ncome during Gross value at end of! reporting period reporting period (2) i i ransactions during reporting period () (2) () (2) (3) (4) () (5) Place "(X)" after each asset mount ype (e.g. Value Value ype (e.g. Date Value Gain dentity of exempt from prior disclosure Code div., rent, Code 2 Method buy. sell, Month - Code 2 Code buyer/seller (-H) or int.) (-P) Code 3 (Q-W) redemption) Day (-P) (-H) (ifprivate transaction). WSHX GRB (X) None vaya, nc., co=on stock None ntel, nc., co=on stock Lucent echnologies, nc., co=on stock None exchange 12101 ] 6. lcatel, co=on stock ] exchange 12101 7. Oakmark Select, mutual fund transfer 12128 ] 8. Proctor & Gamble, co=on stock 9. Wells Fargo & Co., co=on stock O. PMCO High Yield Fund #108, lerus nterest Financial (SEP R) PHYX 1 Federated aufmann Small Cap lerus SEP R SEP R FSX 1 Goldman Sachs Real Estate Securities Fund #639 SEP R GREX 1 Fidelity dvisors Midcap Fund #533 lerus SEP R FMCCX 1 Goldman Sachs Core US Equity lerus SEP L R GSELX 1 Oppenheimer Real sset Fund lerus SEP R ORYX 16. Royce Opportunity Fund lerus SEP R buy RYPNX 4/20 ] 17. Fidelity nvestors Diversified nt. Fd. lerus ncome Gain Codes: =$1,000 or less B =$1,001 $2,500 c =$2,501-$000 D =$001 -$15,000 E =$15,001 -$50.000 (See Columns Bl and D4) F =$50,001 $100,000 G =$100,001 -$1,000,000 H =$1,000,001 -$5,000,000 H2 =Moce than $5,000,000 Value Codes =$15,000 or less =$15,001 - $50,000 L=$50,001-$100,000 M =$100,001 -$250,000 (See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 Value Method Codes P3 =$25,000,001 -$50.000.000 R =Cost (Real Estate Only) P4 =Moce than $50,000,000 =Cash Market (See Column C2) Q = ppraisal V =Other S =ssessment U =Book Value W =Estimated
Page 5of7 Erickson, Ralph R 05/11/2007 V. NVESMENS and RUSS -- D NONE (No reportable income, assets, or transactions.) income, value, transactions (ncludes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) B c D Description of ssets ncome during Gross value at end of ransactions during reporting period (including trst assets) reporting period reporting period () () (2) (3) (4) (5) (2) L (2) () Place "(X)" after each asset mount ype (e.g. Value Value ype (e.g. Date Value Gain dentity of exempt from prior disclosure Code div., rent, Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (-H) or int.) (l-p) Code 3 redemption) Day (l-p) (-H) (if private SEPFDVX (Q-W) transaction) 18. Federated Capital Reserve Fund, State Bank & rust (X) 401 19. NG etna 457(b) lng (etna) VP ndex Plus Large Cap_ Div. &nt. 20. NG etna 457(b) Fidelity VP Growth Portfolio 109 Div_ & nt. 2 NG etna 457(b).Rowe Price MC Gr-nit-449 2 NG etna 457(b) Oppenheimer Global Pt-nit--432 2 Gate City Savings--Savings ccount nterest 2 Digital Broadcast Corporation None w 2 Coin Collection--Estate # w distributed 611 26. Phoenix Home Mutual Life nsurance Policy--rust # 27. Guardian nsurance ife nsurance Cash Value) c L 28. Guardian nsurance (Cash Value) 29. Guardian nsurance (Cash Value) B 30. ackson National Life l. ncome Gain Codes: =$!,000 or less B =$001 -$2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns B and D4) F :$50,001 -$100,000 G =$100.001 -$1,000,000 H =$1,000,001 - $000.000 H2 =More than $5,000,000 Value Codes =$15,000 or ess =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl an D3) N :$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000.001 -$5,000,000 P2 =$5,000,001 -$25,000,000 Value Method Codes (See Column C2) P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Cash Market Q=ppraisa V =Other S =ssessment U =Book Value W =Estimated
Page 6 of7 Erickson, Ralph R 05/11/2007 V. DDONL NFORMON OR EXPLNONS. (lndicate parofreport.) Sec. V Lines 5 and 6. Exchanged Lucent stock for lcatel stock as the result of a merger. Sec. V Line 7. ransferred part of the Oakmark shares to a charity.
Page 7of7 Erickson, Ralph R 05/11/2007 X. CERFCON. certify that all information given above (including information pertaining to my spouse and minor or dependent children, 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 provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udicial Conference regulations. Signatur NOE: NY NDVDUL WHO NOWNGLY N WLFULLY FLSF1ES OR FS O FLE DS REPOR MY BE SUBEC O CVL N CRMNL SNCONS (5 U.S.C. app. 104) FNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544