Joan N. Ericksen

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

Fidelity Adv 529 Plan Portfolio 2019C (no control) — Int/Div

Amenprise Money Market — Interest

Columbia Acorn International (LAIAX) — Int/Div

Columbia Acorn International (LAIAX) — None — Buy

Columbia High Yield Bond (INEAX) — Int/Div

Columbia High Yield Bond (INEAX) — None — Sold

Columbia Floating Rate Bond Fund (RFRAX) — Int/Div

Columbia Floating Rate Bond Fund (RFRAX) — Buy

Columbia Floating Rate Bond Fund (RFRAX) — Buy (add'l)

Franklin Minnesota Tax Free Income (FMINX) — Int

Franklin Minnesota Tax Free Income (FMINX) — Sold

Franklin High Yield Tax-Free Income (FRHIX) — Int/Div

Franklin High Yield Tax-Free Income (FRHIX) — Sold

iShares iBoxx Investment Grade Corp. Bond ETF (LOD) — Ine

iShares iBoxx Investment Grade Corp. Bond ETF (LOD) — Sold

Merger Fund (MERFX) — Int/Div

Merger Fund (MERFX) — Buy

Merger Fund (MERFX) — Buy (add'l)

Merger Fund (MERFX) — Buy (add'l)

Oppenheimer International Bond A {OIBAX) — Int/Div

Oppenheimer International Bond A {OIBAX) — Buy

Oppenheimer Developing Markets A (ODMAX) — Int/Div

PIMCO Commodity Real Return Strategy Fund (PCRAX) — Int/Div

PIMCO Commodity Real Return Strategy Fund (PCRAX) — Sold

Oppenheimer SteelPath MLP Select 40 IMLPFX) — Int/Div

Oppenheimer SteelPath MLP Select 40 (MLPFX) — Buy

Vanguard High Dividend Yield ETF(VYM) — Int/Div

Vanguard High Dividend Yield E1F(VYM) — Sold

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

Vanguard Mid-Cap Value ETF (VOE) — Sold (part)

Vanguard Mid-Cap Growth ETF (VOT) — Int

Vanguard Mid-Cap Growth ETF (VOT) — Sold

Vanguard Value ETF (VTV) — Int/Div

Vanguard Value ETF (VTV) — Sold

Vanguard High Dividend Yield ETF (VYM) — Int/Div

Vanguard High Dividend Yield ETF (VYM) — Sold

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

Wells Fargo Short Term High Yield (SSTHX) — Sold (part)

Invesco International Small Company {IEGAX) — None — Sold

Eagle Small Cap Growth (HRSCX) — None — Sold

William Blair Small Cap Value (WBVDX) — None — Sold

Credit Suisse Commodity Return Strategy {CRSAX) — None — Buy

Invesco Global Real Estate (AGREX) — Int/Div

Invesco Global Real Estate (AGREX) — Sold (part)

Putnam Intemational Capital Opportunity (PNVAX) — Int/Div

Vanguard Growth (VUG) — Int/Div

S10.

President, Federal Bar Association, Mmnesota Chapter

Committee Member, NCBE, Multistate Bar Drafting Committee

Board of Directors, Friends of the Children Foundation

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

Reimbursement — NCBE — May 9-12, 2013 — San Francisco, CA — Evidence Drafting Committee — Transportation, Meals, Lodging

Reimbursement — NCBE — Nov 14-17, 2013 — Pasadena, CA — Evidence Drafting Committee — Transportation, Meals, Lodging

Reimbursement — FBA Chapter — Apr 26-27, 2013 — Arlington, VA — Leadership Traming Program — Transportation, Meals, Lodging

PN assets are not reportable: J sole interest in and responsibility for Ji income, assets and investments. Jil property is not in any way derived

from or associated with any of my income, assets or activities. 1 do not, and do not expect to, derive any financial or economic benefit from JEN

financial interest or responsibility. ARN tax return with JEN and myself was NOT filed for 2013,