Katherine A. Constantine

2013Annual

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Parts of this filing are redacted in the source. Gaps below are the filing's, not ours.

What was filed

384
investments
5
positions
0
gifts
1
agreements
0
debts
0
reimbursements
2
income
0
spouse income

Named parties

Part VII
Minnesota Life College
The ARC Greater Twin Cities
Dorsey & Whitney LLP
Steep Eaming Curve
Twin City Federal Account #1
Dorsey & Whitney LLP-partner compensation
Dorsey & Whitney LLP-retirement, pension and refund of capital contribution (with interest)

As filed

Brokerage #2 (H)

Brokerage #4 (H)

SBrokerage #1 (H)

Alps (ETF) — Int/Div

AT&T (common) — Int/Div

Proctor & Gamble {common ) — Int/Div

Southern Co. (common) — Int/Div

Target (common) — Int/Div

Teco Energy (common ) — Int/Div

Xcel Energy (common ) — Int/Div

Powershares Finl pfd (ETF) — Int/Div — Buy (add'l)

SAFRA Natl Bk (C.D) — Interest — Buy

CITBK(C.D) — Interest — Buy

GE Cap Fml(C.D.) — Interest

Goldman Sachs Bk (C.D) — Interest

Freebom Cnty MN GO (Bond) — Interest

Sartell Mn GO (Bond) — Interest

Deer River MN GO (Bond) — Interest

MN Hsg Pub Svc Rev (Bond) — None — Buy

Mpls MN Library GO (Bond) — Interest

MN Streets/Hwys GO (Bond) — Interest

Mpls MN Spl Sch Dist GO (Bond) — Interest — Buy

US Gov't Money Mkt (mutual fund) — Int/Div — Buy (add'l)

US Gov't Money Mkt (mutual fund) — Buy (add'l)

US Gov't Money Mkt (mutual fund) — Sold (part)

US Gov't Money Mkt (mutual fund) — Int/Div — Buy (add'l)

US Gov't Money Mkt (mutual fund) — Sold (part)

Metropolitan West Ttl Retrn (Mutual Fd) — Int/Div — Buy (add'l)

SMFS Div Income (Mutual Fund) — Int/Div — Buy

Pimco Total Return (Mutual Fd) — Int/Div — Buy (add'l)

Pimco Total Return (Mutual Fd) — Sold

Anoka Caty MN GO (Bond) — Interest

Brokerage #3 (H)

RBC Prime Money Mkt {Mutual Fund) — Int/Div — Buy (add'l)

RBC Prime Money Mkt {Mutual Fund) — Buy (add'l)

S10. — Buy (add'l)

S10. — Sold (part)

S10. — prt)

S10. — Sold (part)

Affilated Manager Group Inc — None — Buy

Affilated Manager Group Inc — Buy (add'l)

Alliant Energy (common) — Int/Div — Sold

Allstate Corp (common) — Int/Div — Sold

Amazon.com Inc (common) — None — Sold

AMC Networks Inc — None — Buy

AMC Networks Inc — Buy (add'l)

American Int'l (common) — Int/Div — Buy (add'l)

American Int'l (common) — Sold

Ametek (common) — Int/Div

Andarko Pete (common) — Int/Div — Buy (add'l)

Analog Devices (common) — Int/Div — Sold

Apple (common) — Int/Div — Buy (add'l)

Apple (common) — Sold (part)

Archer Damels Midland (common) — Int/Div — Buy (add'l)

Archer Damels Midland (common) — Buy (add'l)

Archer Damels Midland (common) — Sold (part)

Avago Tech (common) — Int/Div — Buy

Avago Tech (common) — Buy (add'l)

AT & T (common) — Int/Div — Sold

Bank of America (common) — Int/Div — Sold (part)

Bank of America (common) — Sold

Biogen Idec (common) — None — Buy

Biogen Idec (common) — Buy (add'l)

Boeing (common) — Int/Div — Buy

Boeing (common) — Buy (add'l)

Bristol Mevers Squibb (common) — Int/Div — Sold

Broadcom Corp (common) — Int/Div — Sold

Cameron International — None — Buy

Cameron International — Sold

CF Industries Holdings Inc — None — Buy

CF Industries Holdings Inc — Sold

Chevron Corp (common) — Int/Div — Buy (add'l)

Chevron Corp (common) — Sold (part)

Church & Dwight Co (common) — Int/Div — Buy

Cisco Systems (common) — Int/Div — Sold (part)

Cisco Systems (common) — Sold (part)

Cisco Systems (common) — Sold

Citigroup {common ) — Int/Div — Buy (add'l)

Citigroup {common ) — Sold

Coca Cola (Common) — Int/Div — Sold (part)

Coca Cola (Common) — Sold

Comcast Corp (class A) — Int/Div

Conagra Foods {common) — Int/Div — Sold

Continental Resources (common) — None — Buy

Costco Wholesale (common) — Int/Div — Buy

Cummins (common) — Int/Div — Sold

Delta Air Lines Inc Del — None — Buy (add'l)

Delta Air Lines Inc Del — Sold (part)

Discover Financial (common) — Int/Div — Sold

E Dupont (common) — None — Sold

Ebay (common) — None — Buy (add'l)

EMC Corp (common) — Int/Div — Sold

Eli Lilly (common) — Int/Div — Sold (part)

EOG Resources (common) — Int/Div

Exxon Mobile (common) — Int/Div — Sold (part)

Exxon Mobile (common) — Sold (part)

Exxon Mobile (common) — Sold

FedEx Corp — None — Buy

Fifth Third Bancorp (common) — Int/Div — Buy (add'l)

Fifth Third Bancorp (common) — Sold (part)

Fifth Third Bancorp (common) — Sold

Forest Laboratories (common) — None — Buy

Forest Laboratories (common) — Buy (add'l)

Freeport McMoran (class B) — Int/Div — Sold

Gallagher Arthur J & Co (common) — Int/Div — Buy

Gallagher Arthur J & Co (common) — Sold

General Electric (common) — Int/Div — Sold (part)

General Electric (common) — Sold

General Motors (common) — None — Buy

Gilead Sciences Inc — None — Buy

Gilead Sciences Inc — Buy (add'l)

Goldman Sachs Group — Int/Div — Buy

Goldman Sachs Group — Sold

Google (common) — None — Buy (add'l)

Google (common) — Sold (part)

Helmerich & Payne Inc — None — Sold — Part VII

Henry Schein (common) — None — Buy

Henry Schein (common) — Buy (add'l)

Home Depot (common) — Int/Div

Hospira Inc — None — Buy

Intel Corp (common) — None — Buy

IBM (common) — None — Sold

Intemational Paper (common) — Int/Div

Invesco Lid (common) — Int/Div — Sold

Johnson & Johnson (common) — Int/Div — Buy (add'l)

JP Morgan & Chase — Int/Div — Buy (add'l)

JP Morgan & Chase — Buy (add'l)

JP Morgan & Chase — Sold (part)

JP Morgan & Chase — Sold

KBR Inc (common) — Int/Div — Buy

KBR Inc (common) — Sold (part)

KLA -Tencor (common) — Int/Div — Buy

Laboratory Corp Amer Hldgs — None — Sold

LSI Corp (common) — Int/Div — Buy

LSI Corp (common) — Sold

Lyondellbasell Ind (class A) — Int/Div — Buy

Lyondellbasell Ind (class A) — Buy (add'l)

Macys Inc — Int/Div — Sold (part) — Part VII

Macys Inc — Sold

Mastercard Inc — None — Buy

Mastercard Inc — Sold

Merck & Co (common) — Int/Div — Sold

MetLife (common) — Int/Div — Buy (add'l)

MetLife (common) — Sold (part)

MetLife (common) — Sold

Michael kors Hldgs (ordinary) — None

Microsoft (common) — None — Sold

Morgan Stanley (common) — Int/Div — Buy

Morgan Stanley (common) — Buy (add'l)

Morgan Stanley (common) — Sold (part)

Morgan Stanley (common) — Sold

Murphy Oil (common) — Int/Div — Sold

Newell Rubbermaid (common) — Int/Div — Buy

Nextera Energy (common) — Int/Div — Buy

Nisource Inc (common) — Int/Div — Sold (part)

Nisource Inc (common) — Sold

Occidental Pete (common) — Int/Div — Buy (add'l)

Occidental Pete (common) — Buy (add'l)

Oracle Corp (common) — Int/Div — Sold (part)

Parker Hannifin (common) — Int/Div — Buy

Parker Hannifin (common) — Buy (add'l)

Pepsi (common) — Int/Div

Pioneer Natural Res (common) — None — Sold

Polaris Ind (common) — Int/Div — Sold

Precision Castparts (common) — Int/Div

Priceline (common) — None — Buy

Proctor & Gamble — Int/Div — Sold

Qualcomm — Int/Div — Buy (add'l)

Qualcomm — Sold (part)

Raytheon (common) — Distribution — Sold

Rehance Steel & Alum (common) — Int/Div — Buy

Rehance Steel & Alum (common) — Sold

Schlumberger Ltd (common) — Int/Div — Buy (add'l)

Sandisk Corp — None — Buy

Sandisk Corp — Buy (add'l)

Sector Spdr (ETF) — Int/Div — Buy

Sector Spdr (ETF) — Buy (add'l)

Simon Property Grp (common) — Int/Div — Buy

Simon Property Grp (common) — Sold

Stryker Corp (common) — Int/Div

Target (common) — Int/Div — Sold

Timken (common) — Int/Div — Buy

Timken (common) — Buy (add'l)

Timken (common) — Sold (part)

Timken (common) — Sold

Triumph Grp (common) — Int/Div — Buy (add'l)

Triumph Grp (common) — Sold

TRW Automotive (common) — None — Part VII

Union Pacific Corp (common) — Int/Div — Sold

US Bancorp (common) — Int/Div — Buy

US Bancorp (common) — Buy (add'l)

US Bancorp (common) — Sold

Valero Energy (common) — Int/Div — Buy

Verizon Commun {common ) — Int/Div — Sold

Visa (common) — Int/Div — Sold

Wabtec Comp — None — Buy

Walt Disney (common) — None — Sold (part)

Wells Fargo (common) — Int/Div — Buy (add'l)

Wells Fargo (common) — Buy (add'l)

Wells Fargo (common) — Sold (part)

Wells Fargo (common) — Sold

Western Digital (common) — Int/Div — Buy

Western Digital (common) — Sold

Weverhaeuser Co (common) — Int/Div — Buy

Weverhaeuser Co (common) — Sold

Whirlpool Corp (common) — Int/Div — Buy

Whiting Petroleum Corp — None — Buy

Whiting Petroleum Corp — Sold

Xilinx (common) — Int/Div — Buy

Xilinx (common) — Sold

Yahoo (common) — None — Buy

Yahoo (common) — Sold (part)

Zimmer Holdings (common) — Int/Div

RBC Prime Money Market Fd (mutual fund) — Int/Div

Fudelity Adv New Insights (mutual fund) — Int/Div — Buy (add'l)

Amer Fds Euro Pacific Gr (mutual fund) — Int/Div

Thomburg Int'l Value (mutual fund) — Int/Div

Amer Fds Capital Income Bldr (mutual fund) Class C — Int/Div — Closed — Part VII

Amer Fds Capital Income Bldr (mutual fund) Class F — Int/Div — Open — Part VII

Brokerage #5 (H)

RBC Prime Money Market Fd (mutual fund) — Int/Div — Sold (part)

Kayne Anderson (common) — Int/Div

MN Higher Ed St. Ben (Bond) — Interest

Xcel Energy (common) — Int/Div — Buy

Brokerage Account #6 Dorsey 401k (H)

Discover Bank (C.D.) — Interest — Closed — Part VII

Artisian International (mutual fund) — Int/Div — Closed — Part VII

Buffalo Mid Cap (mutual fund) — None — Buy (add'l)

Buffalo Mid Cap (mutual fund) — Closed — Part VII

Dodge & Cox Int'l Stock (mutual fund) — None — Closed — Part VII

Fidelity Contra (mutual fund) — Int/Div — Buy (add'l)

Fidelity Contra (mutual fund) — Closed — Part VII

Fidelity New Insights C1 C — None — Closed — Part VII

Metropolitan West Total Return Bond (mutual fund) — Int/Div — Buy (add'l)

pak) — Closed — Part VII

Pamassus Income Tr (mutual fund) — Int/Div — Buy (add'l)

Pamassus Income Tr (mutual fund) — Closed — Part VII

Pimco Total Return (mutual fund) — Int/Div — Buy (add'l)

Pimco Total Return (mutual fund) — Closed — Part VII

T Rowe Price Gr Stk (mutual fund) — None — Buy (add'l)

T Rowe Price Gr Stk (mutual fund) — Closed — Part VII

Royce Value — None — Closed — Part VII

IMS Capital Value Unified Series Trust (mutual fund) — None — Closed — Part VII

IShares Russell 1000 Gr (ETF) — Int/Div — Closed — Part VII

IShares Russell 1000 Value (ETF) — Int/Div — Closed — Part VII

IShares S&P Sm Cap 600 (ETF) — Int/Div — Closed — Part VII

Brokerage Acct #7 (H)

RBC Prime Money Market Fd (mutual fund) — Int/Div — Buy (add'l)

RBC Prime Money Market Fd (mutual fund) — Sold

Federated Money Market (money market) — Int/Div — Buy

Federated Money Market (money market) — Buy (add'l)

Federated Money Market (money market) — Sold (part)

Artisan Intl. (mutual fund) — None — Open — Part VII

Artisan Intl. (mutual fund) — Sold

Buffalo Mid Cap (mutual fund) — Int/Div — Open — Part VII

Fidelity New Insights (mutual fund) — Int/Div — Open — Part VII

IShares Russell 1000 Gr (ETF) — Int/Div — Open — Part VII

IShares Russell 1000 Value (ETF) — Int/Div — Open — Part VII

IShares Russell 1000 Value (ETF) — Sold (part)

IShares S&P Sm Cap 600 (ETF) — Int/Div — Open — Part VII

Pamassus Income Tr (mutual fund) — Int/Div — Sold (part)

Pamassus Income Tr (mutual fund) — Sold (part)

T Rowe Price Gr Stk (mutual fund) — Int/Div — Open — Part VII

T Rowe Price Gr Stk (mutual fund) — Sold (part)

Dodge & Cox Int'l Stock (mutual fund) Class F — Int/Div — Open — Part VII

Amer Fds Euro Pac Gr (mutual fund) — Int/Div — Buy

Vanguard Total Bond Market ETF — Int/Div — Buy

Dodge & Cox Income Fund (mutual fund) Class — Int/Div — Buy

Metropolitan West Total Return Bond (mutual fund) — Int/Div — Open — Part VII

Metropolitan West Total Return Bond (mutual fund) — Buy (add'l)

American Express Centurion BK — None — Buy

Sallie Mae Bk Slt Lake City — None — Buy

GE Cap Retrail Bk Utah — None — Buy

MFS Div Inc (mutual fund) — Int/Div — Buy

Fidelity Contrafund — None — Open — Part VII

Fidelity Contrafund — Sold

Pimco Fds Pac Invt Mgmt Ser — Int/Div — Open — Part VII

Pimco Fds Pac Invt Mgmt Ser — Sold

Royce Value Plus (mutual fund) — Int/Div — Open — Part VII

Royce Value Plus (mutual fund) — Sold

IMS Cap Value Unified Ser Tr (mutual fund) — None — Open — Part VII

IMS Cap Value Unified Ser Tr (mutual fund) — Sold

Powershares (ETF) — Int/Div — Buy

Powershares (ETF) — Buy (add'l)

Powershares (ETF) — Sold

Morgan Stanley Cap Tr — Interest — Buy

Morgan Stanley Cap Tr — Sold

PNC Finl Sves Group Inc — None — Buy

PNC Finl Sves Group Inc — Sold

AXA Annuity — Int/Div

Brokerage #8 (H)

RBC Prime Money Market (mutual fund) — Int/Div — Buy (add'l)

RBC Prime Money Market (mutual fund) — Sold (part)

Adb6 — Sold (part)

American Century Eq Inc (mutual fund) — Int/Div — Buy

Amer Fds Capital Inc Bldr (mutual fund) — Int/Div

Columbia Acom (mutual fund) — Int/Div

Euro Pac Gr (cl ¢ mutual fund) — Int/Div — Part VII

Euro Pac Gr (cl ¢ mutual fund) — Buy

153, — Part VII

Euro Pac Gr (cl f mutual fund) — Int/Div — Part VII

358 — Part VII

Fidelity New Insights (mutual fund) — Int/Div

Fidelity Adv Ser Il {mutual fund) — Int/Div

Fundamental Invs (mutual fund) — Int/Div — Buy (add'l)

ING Emerg Countries (mutual fund) — Int/Div — Sold

ING Mut Fd (mutual fund) — None — Sold

Keeley Sm Cap Value (mutual fund) — Int/Div

Metropolitan West Total Return Bond (mutual fund) — Int/Div

MFS Ser Tr XH (mutual fund) — Int/Div — Buy

Pimco Total Return (mutual fund) — Int/Div — Sold

Trust £1 (MH)

RBC Prime Money Mkt (mutual fund) — Int/Div

MFS Ser Tr XH (mutual fund) — Int/Div — Buy

Pinco Total Return (mutual fund) — Int/Div — Sold

Steep Earnings Curvel{investment club) (H) — Int/Div — Part VII

Costco

Fastenal

American Enterprise Inv. Sves. (mutual fund) — Int/Div

Discover Financial Sves. (common) — Int/Div

Honeywell Int'l. (common) — Int/Div

Morgan Stanley (common) — Int/Div

Allstate Corp. (common) — Int/Div

Sears Holding Corporation (common) — Interest

Sears Canada (common) — Int/Div

US. Bank NA. Accounts (cash & CDs) — Interest

Twin City Federal Account (cash) — None — Part VII

Brokerage #9 (H)

E Trade cash reserve account — None — Part VII

EE (common) — None — Buy (add'l)

EE (common) — Sold (part)

EE (common) — Buy (add'l)

EE (common) — Sold (part)

EE (common) — Buy (add'l)

EE (common) — Sold (part)

Twin City Federal Account £1 {Conservator/ Guardian — None — Part VII

Franklin Templeton Investments Account £1 (Custodian) (x) — Int/Div — Part VII

Member of the Board of Directors and Fiance Committee, Minnesota Life College

Member of the Board of Directors, The ARC Greater Twin Cities

Partner, Dorsey & Whitney LLP

Partner, Steep Eaming Curve

Conservator/Guardian/Pavee, Twin City Federal Account #1

Agreement — 20132014 — Dorsey & Whitey LLP (former law firm) Retirement Payment Agreement, fixed payments/no control

Income — 2013 — Dorsey & Whitney LLP-partner compensation — $116.980.20

Income — 2013 — Dorsey & Whitney LLP-retirement, pension and refund of capital contribution (with interest) — $136046.13

* FRARFATE RR ARAL NLAALs RINE VFEVIYELR BR RAFLN AAA AE BARNA EL RRL Te (Hoe TY 4 Ye)

1) Part VII, line 221: No income received during reporting period.

2) Part VII, lines 264, 265,267, 268, 270, 271, 273, 275, 277, 279, 280, 281, 282, 283, 284, 302, 304, 305, 306, 307, 309, 312, 314, 318, 326, 328, 330, 332: These

assets were transferred from Brokerage 6 to Brokerage 7; not technically buys or sells as no exchange of money involved,

3) Part VII; lines 254, 255, 351, 353, 354 and 355: These are share class exchanges; not technicully buys or sells as no exchange of money involved.

4) Part VII, line 371: This

vestment club was dissolved but funds (approximately $2542) were left in the club's account to pay for 2013 tax preparation. Earlier

in 2014 that return was filed and the final distribution made to club members after payment for that tax preparation. The assets of the club (stock) were sold prior

to the end of the reporting period.

5) Part VII, lines 383 and 395: This is a checking account that does not pay any interest or any other form of income,

6) Part VII, line 386: This is a cash holding account that does not generate income.

7) Part VII, Ime 396: This account inadvertently not included in initial and amended prior reports.

RESPONSE TO LETTER DATED DECEMBER 31, 2014, generally in the order presented in that letter:

A) Line 147: Helmerich was not on the prior report because it was an initial report for Jan 1, 2012 through September 30, 2013 which included all income,

but only positions and values of assets still owned on September 30, 2013. The Helmerich position was closed prioet to September 30, 2013. Per page 65, no

transactions were required. Per Kristina, this is correct,

B) Line 170: Macy's was inadvertently omitted and should have been listed in the prior report for income--Column B(1) should be "A", (2) should be “dividend”,

Column C should be left blank as again, the position was closed prior to the end of the initial reporting period. Per Kristina, there is no need to refile the mitial

report given this explanation.

C) Lines 271 and 280: Fidelity New Insights and Royce Value were both included on the prior report under brokerage #7 only because it had been moved during

the reporting period from brokerage 6 to brokerage 7. It was reported in this report on both brokerage #6 and #7 because on this report the transactions were

reportable this time.

D) Line 371: With the additions entered on this version in column C and the note above, Kristina has advised that the proper information has been provided.

E) Line 28 of PRIOR report: GE Capital is listed in line 28 of the prior report and is listed on line 12 of the current report.

F) Line 69 of PRIOR report: Delta is listed in line 69 of the the prior report and is listed on line 188 of the current report.

G) Line 86 of PRIOR report: Google is listed in line 86 of the prior report and is listed on line 145 of the current report,

H) Lines 33, 36, 37,47, 52, 53, 54, 62, 66, 67, 68, 72, 76, 95, 98, 108, 110, 112, 115, 118, 121, 126, 134, 138, 140, 141, 146, 148, 174, 218 of PRIOR report:

These position closed prior to the reporting period. They were listed on the prior report only because of income received during that reporting period.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.