Joan N. Ericksen

Ameriprise Money Market (AIMMA) — Interest

Columbia Acorn Intl C1 A (LAIAX) — Int/Div

Columbia Floating Rate Cl A (RFRAX) — Int/Div

Columbia Floating Rate Cl A (RFRAX) — Sold

Credit Suisse Commodity Return Strategy Cl A(CRSAX) — Int/Div

Eagle Small Cap Growth C1 A (HRSCX) — None

Fidelity Advisor $29 2019 C1 C (FPLCX) — Int/Div

Fidelity Advisor 529 2019 C1 C (FPLCX) — Buy

Fidelity Advisor 529 2019 C1 C (FPLCX) — Sold

Fidelity Advisor 529 Aggressive Growth Cl C((FFCGX) — None

Fidelity Advisor 529 Aggressive Growth Cl C(FFCGX) — Buy

Fidelity Advisor 529 Aggressive Growth C1 C (FFCGX) — Buy (add'l)

Fidelity Advisor 529 Aggressive Growth C1 C (FFCGX) — Buy (add'l)

Fidelity Advisor $29 Money Market C1 ¢ (FMMCX) — None

Fidelity Advisor 529 Money Market C1 ¢ (FMMCX) — Buy

Fidelity Advisor 529 Money Market C1 (FMMCX) — Sold

Goldman Sachs Commodity Strategy C1 A (GSCAX) — Int/Div

Goldman Sachs Commodity Strategy C1 A (GSCAX) — Buy

Goldman Sachs Commodity Strategy C1 A (1GSCAX) — Buy (add'l)

Invesco Global Real Estate C1 A (AGREX) — Int/Div

Invesco Global Real Estate Cl A (AGREX) — Sold

Merger Fund Investor C1 (MERFX) — Int/Div

Merger Fund Investor C1 (MERFX) — Buy

Minnesota State Retirement System Judges’ Retirement Plan — Int/Div

Oppenheimer Developing Markets C1 A {ODMAX) — Int/Div

Oppenheimer Developing Markets C1 A {ODMAX) — Buy

Oppenheimer Developing Markets C1 A (ODMAX) — Buy (add'l)

Oppenheimer Developing Markets C1 A {ODMAX) — Buy (add'l)

Oppenheimer Developing Markets C1 A {ODMAX) — Sold

Oppenheimer Intl Bond Cl A (OIBAX) — Int/Div

Oppenheimer Steelpath MLP Select 40 C1 A — Int/Div

Pimco Foreign Bond Unhedged C1 A (PURAX) — Int/Div

Pimco Foreign Bond Unhedged Cl A (PURAX) — Buy

Prudential Global Real Estate Cl A (PURAX) — Int/Div

Schwab Intl Equity ETF (SCHF) — Int/Div

Undiscovered Managers Behavioral Value CIA(UBVAX) — Int/Div

Undiscovered Managers Behavioral Value CIA(UBVAX) — Sold

Vanguard FTSE Developed Mkts ETF (VEA) — Int/Div

Vanguard FTSE Developed Mkts ETF {VEA) — Sold

Vanguard FTSE Developed Mkts ETF {(VEA) — Buy

Vanguard FTSE Developed Mkts ETF {(VEA) — Sold

Vanguard Value ETF (VTV) — Int

Vanguard Value ETF (VTV) — Buy

Vanguard Value ETF (VTV) — Sold

Wells Fargo Short Term High Yield Bond Cl A (SSTHX) — Int/Div

Wells Fargo Short Term High Yield Bond Cl AISSTHX) — Buy

Wells Fargo Short Term High Yield Bond Cl A(SSTHX) — Sold

Wells Fargo Short Term High Yield Bond Cl A (SSTHX) — Buy

Vanguard Mid Cap Value ETF (VOE) — Int/Div

Vanguard Mid Cap Growth ETF (VOT) — Int./hv

Vanguard Growth ETF (VUG) — Int/Div

Past President, Federal Bar Association, Mmnesota Chapter

Committee Member, NCBE, Multistate Bar Drafting Committee

President, Jimmie V. Revna Intellectual Property lon of Court

Agreement — 2002 — Minnesota State Judge Retirement Plan - Former Employer - No Control