# Katherine A. Constantine > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/14544 ## Record - **Judge:** Katherine A. Constantine - **Year:** 2013 - **Report type:** Annual - **Pages:** 29 ## Text 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) — Buy (add'l) US Gov't Money Mkt (mutual fund) — Sold (part) US Gov't Money Mkt (mutual fund) — Sold (part) 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) 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) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) RBC Prime Money Mkt {Mutual Fund) — Buy (add'l) S10. — Buy (add'l) S10. — Buy (add'l) S10. — Buy (add'l) S10. — Buy (add'l) S10. — Buy (add'l) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — Sold (part) S10. — prt) S10. — Sold (part) 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) 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 (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) 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) — Buy (add'l) Federated Money Market (money market) — Buy (add'l) Federated Money Market (money market) — Buy (add'l) Federated Money Market (money market) — Buy (add'l) Federated Money Market (money market) — Buy (add'l) Federated Money Market (money market) — Buy (add'l) Federated Money Market (money market) — Sold (part) Federated Money Market (money market) — Sold (part) Federated Money Market (money market) — Sold (part) Federated Money Market (money market) — Sold (part) 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) Metropolitan West Total Return Bond (mutual fund) — Buy (add'l) 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) — Sold (part) EE (common) — Buy (add'l) EE (common) — Sold (part) 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 AR * 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. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/14544. Public record. Not legal advice.