# Katherine A. Constantine > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/15212 ## Record - **Judge:** Katherine A. Constantine - **Year:** 2016 - **Report type:** Annual - **Pages:** 17 ## Text MN Hsg Pub Sve Rev (Bond) — Interest Brokerage #1 (H) RBC Branch Sweep Program (Money Market) — None Alps (ETF) — Int/Div AT&T (common) — Int/Div Proctor & Gamble (common ) — Int/Div Select Sector Spdr Tr Utilities Sector (Index Fd) — Int/Div — Buy (add'l) Southern Co. (common) — Int/Div Target (common) — Int/Div Teco Energy (common ) — Int/Div — Sold Xcel Energy (common ) — Int/Div Powershares Finl pfd (ETF) — Int/Div GE Cap Finl (C.D) — Interest — Sold Goldman Sachs BK (C.D) — Interest Freeborn Cnty MN GO (Bond) — Interest — Redeemed Columbia MN Tax Exmpt Fd (Class A MF) — None — Open Deer River MN GO (Bond) — Interest — Redeemed Mpls MN Library GO (Bond) — Interest MN Streets’Hwys GO (Bond) — Interest — Redeemed Mpls MN Spl Sch Dist GO (Bond) — Interest MN Hsg Res Rev (Bond) — Interest — Sold (part) MN St GO Vanous Purp GO (Bond) — Interest — Buy Brokerage #2 (H) US Gov't Money Mkt NKA RBC Branch Sweep(money mkt fd) — Interest Metropolitan West Ttl Retrn (Mutual Fd) — Int/Div MFS Div Income (Mutual Fund) — Int/Div Anoka Cnty MN GO (Bond) — Interest Brokerage #3 (H) RBC Prime Money Mkt (money market fund) — Interest Activision Blizzard (common) — Int/Div — Buy (add'l) Activision Blizzard (common) — Buy (add'l) Acuity Brands (common) — Int/Div — Sold (part) Adobe Systems (common) — None Advanced Auto Parts — Int/Div — Sold (part) Advanced Auto Parts — Sold Alexion Pharma (common) — None — Buy Allergan PLC FKA Actavis (common) — None Alphabet FKA Google (common) — None — Buy (add'l) Amazon (common) — None — Buy (add'l) Andarko Pete (common) — None — Sold Andarko Pete (common) — Buy Andarko Pete (common) — Sold Apple (common) — None — Sold (part) Archer Daniels Midland (common) — Int/Div — Sold (part) Avago Tech NKA Broadcom(common) — None — with line 52) Biogen Idec (common) — None Boeing (common) — Int/Div Bristol Meyers Squibb (common) — Int/Div Broadcom Ltd — Int/Div — Buy — Section VIII Broadcom Ltd — Sold (part) Camival Corp (common) — Int/Div — Buy Celgene Corp (common) — None — Sold (part) Chevron Corp. (common) — Int/Div — Buy Chevron Corp. (common) — Buy (add'l) Comcast Corp {class A) — Int/Div Costco Wholesale (common) — Int/Div CSX Corp — None — Buy (add'l) Delphi Automotive PLC — Int/Div — Sold (part) Delphi Automotive PLC — Sold Delta Airlines (common) — Int/Div Dow Chemical (common) — Int/Div — Buy Edwards Lifesciences Corp (common) — None — Sold Eh Lilly (common) — Int/Div EOG Res (common) — Int/Div — Sold Exelon Corp — Int/Div — Buy (add'l) FS Networks (common) — None — Sold Facebook (common) — None — Sold (part) FedEx Corp — Int/Div — Sold (part) FedEx Corp — Sold Halliburton Co (common) — Int/Div — Buy Henry Schein (common) — None Home Depot (common) — Int/Div Honeywell Int'l — Int/Div — Buy Honeywell Int'l — Buy (add'l) Lear Corp (common) — Int/Div Merck & Co (common) — Int/Div — Sold Microsoft Corp (common) — Int/Div — Buy NXP Semiconductors (common) — None — Sold (part) Newell Rubbermaid (common) — Int/Div Newfield Exploration (common) — None — Buy Nextera Energy (common) — Int/Div Occidental Pete (common) — Int/Div Parker Hannifin Corp (common) — None — Buy Pepsico (common) — Int/Div — Buy (add'l) Pioneer Natural Resources (common) — Int/Div — Buy Raytheon Corp (common) — Int/Div — Buy Raytheon Corp (common) — Buy (add'l) Salesforce.com (common) — None Select Fin'l Sector SPDR Tr (ETF) — Int/Div Select Real Est Sector SPDR Tr (ETF) — Int/Div — from line 92) Snap-On Inc (common) — Int/Div Stryker Corp (common) — Int/Div TIX Compames (common) — Int/Div Vulcan Materials (common) — Int/Div Wabtec Corp (common) — Int/Div — Sold (part) Walt Disney (common) — Int/Div — Sold (part) Walt Disney (common) — Sold Westrock Co (common) — None — Sold Whirlpool Corp (common) — Int/Div — Sold (part) Whitewave Foods Co (common) — None — Sold Zimmer Holdings (common) — Int/Div Brokerage #4 (H) Moved to Brokerage #7 — with line 118) — Section VIII Brokerage £5 (H) Blackrock Eq Div Tr (ETF) — Int/Div Delaware Invts MN Muni Inc (mutual fund) — Int/Div — Buy Kayne Anderson (common) — Int/Div — Sold MN Hsg Pub Human Sve (Bond) — Interest Nuveen AMT Value Fd (ETF) — Interest — Sold Xcel Energy (common) — Int/Div Brokerage Account #6 Dorsey 401k (H) Closed Brokerage Acct #7 (H) Federated Money Mkt NKA RBC Bk Depositmoney mkt mutual fund) — Int/Div Amer Fds Capital Income Bldr (mutual fund) Class F — Int/Div — Sold Amer Fds Euro Pac Gr (mutual fund) — Int/Div Buffalo Fds Mid Cap (mutual Fund) — Int/Div — Sold (part) Buffalo Fds Mid Cap (mutual Fund) — Sold Dodge & Cox Fund Int'l Stock (mutual fund) Class F — Int/Div Dodge & Cox Income (mutual fund) Class — Int/Div — Buy (add'l) Dodge & Cox Income (mutual fund) Class — Buy (add'l) Fidelity New Insights (cl i mutual fund) — Int/Div First Trust Exchange Fd (mutual fund) — Int/Div — Buy Shares Russell 1000 Gr (ETF) — Int/Div Shares Russell 1000 Value (ETF) — Int/Div IShares S&P Sm Cap 600 (ETF) — Int/Div Mairs & Power Fd Sm Cap Fd (mutual fund) — Int/Div — Buy Metropolitan West Total Return Bond{mutual fund) — Int/Div MFS Div Inc (mutual fund) — Int/Div Parnassus Core Equity Fd (mutual fund) — Int/Div T Rowe Price Gr Stk (mutual fund) — Int/Div Thomburg Int'l Value (mutual fund) — Int/Div — Sold Vanguard Total Bond Market (ETF) — Int/Div — Buy Vanguard Admiral S&P MidCap400 Index (ETF) — Int/Div — Buy Vanguard Admiral S&P Sm Cap 600 Index (ETF) — istnbution — Buy American Express Centurion BK — Interest Sallie Mae Bk Slt Lake City (C.D) — Interest GE Cap Retrail Bk Utah (C.D.) — Interest GE Cap Retail Bk Draper Utah(C.D.) — Interest Goldman Sachs Bk USA NY (C.D) — Interest AT & T unsecured OID — Interest AXA Variable Annuity — None Brokerage #8 (H) RBC Branch Sweep nka Bank Deposit Prog(money market program) — Interest Amer Fds Capital Inc Bldr (mutual fund) — Int/Div — Sold Amer Fds Euro Pac Gr (¢] £1 mutual fund) — Int/Div Amer Fds Euro Pac Gr (¢] 1-2 mutual fund) — Int/Div Brocade Commun Syst (common) — Int/Div Fidelity New Insights (mutual fund) — Int/Div Fundamental Invs (mutual fund) — Int/Div shares Biotechnology (ETF) — Int/Div — Buy Ishares Russell Mid Cap Gr (ETF) — Int/Div Keeley Sm Cap Value (mutual fund) — None — Sold Lord Abbett Sec Tr Value Opp (mutual fund) — Int/Div — Sold (part) Mairs & Pwr Small Cap Fd (mutual fund) — Int/Div — Buy Metropolitan West Total Return Bond (mutual fund) — Int/Div — Buy (add'l) MFS Ser Tr XIII AKA Diversified Incomet mutual fund) — Int/Div — Sold (part) MFS Growth (mutual fund) — Int/Div MFS Unlities Fd (mutual fund) — Int/Div Tr for Prof Mgrs Snow Cap Small Cap Value (mutual fd) — Int/Div — Sold (part) Vanguard Admiral Small Cap Fd (mutual fund) — Int/Div — Buy Brokerage #9 (H) Etrade ETrade Cash Reserve Account — None Brocade (common) — None Twin City Federal Account #1(conservator/ Guardian — None Account £10 (H) RBC Branch Sweep (Money Market Program) — Interest Ally Bk Midvale Utah (C.D.) — Interest — Sold (part) Ally Bk Midvale Utah (C.D.) — Buy (add'l) Ally Bk Midvale Utah (C.D.) — Buy (add'l) GE Cap Bk Retail (C.D.) — Interest American Express Cent Bk (C.D.) — Interest Trust 21{(H) RBC Branch Sweep (Money Market Program) — None MFS Ser Tr X11 Diversified Inc (mutual fund) — Int/Div American Enterprise Inv Sve (mutual fd) — Int/Div Discover Financial Svcs (common) — Int/Div Honeywell Int'l (common — Int/Div Morgan Stanley (common) — Int/Div Allstate Corp (common) — Int/Div Sears Holding Corp (common) — None Sears Canada (common) — None US. Bank NA. Accts (cash & CD's) — Int/Div Twin City Federal Acct (Cash) — Interest Conservator/Guardian Payee, Twin City Federal Account #1 Agreement — 2013/2014 — Dorsey & Whitney LLP (former law firm) Retirement Payment Agreement, fixed payments/no control Income — 2016 — Dorsey & Whitney LLP-retirement and pension — $111.024.00 Spouse's income — 2016 — Brocade Communication Systems, Inc. - salary & bonus Lme 2 RBC Branch Sweep Money Market - No income rec'd during reporting period Line 12 GE Capital Sule - No gain Line 14 Freeborm Cry Bond Redemption @ par - No gain Line 15 Columbia Tax Exempt Fd - no income rec'd during reporting period Line 16 Deer River Bond Redemption (@ - No gain Lime 19 MN Streets/Hwys Bond Redemption (@ par - No gain Line 21 Minneapolis Hsg Bond partial redemption at par - No gain Line 36 Adobe Systems - No income rec'd during reporting period Lines 37 & 38 Advanced Auto Parts - No gain Line 39 Alexion Pharma - No income rec'd during reporting period Line 40 Allergan - No income rec'd during reporting period Line 41 Alphabet - No income rec'd during reporting period Line 42 Amazon -No income rec'd during reporting period Linc 43Andarko Pete - No income rec'd during reporting period Line 46 Apple - No income rec'd during reporting period Limes 43 & 45 Andarko Peteroleum- No gam Lines 48 & 52 - Avago Tech merged to into Broadcom Line 49 Biogen - No income rec'd during reporting period Line §5 Celgene - No income rec'd during reporting period Line 60 CSX - No income rec'd during reporting period Line 61 Delphi Automotiv - No gain Line 65 Edwards Life Sciences - no income rec'd during reporting period Line 69 FS Networks Sale -No gain - No income Line 70 Facebook - No income rec'd during reporting period Lines 71 & 72 Fed Ex Sale - No gain Line 74 Henry Schien - No mcome rec'd during reporting period Line 81 NXP Semiconductors - No Income rec'd during reporting period Line 83 Newfield Exploration - No income rec'd during reporting period Line 86 Parker Hunnefin - No income rec'd during reporting period Line 91 SulesForce - No income rec'd during reporting period Line 101 Westrock Co Sale -No gain - No imcome Line 103 Whitewave - no income during reporting period Line 106 Account #4 no longer exists - assets were combined with another same name IRA - Account #7 near the end of 2016 Line 111 Kayne Anderson Sale - no gain Line 159 Keeley Sm Cap Fd - no income rec'd during reporting period Line 170 ETrade Cash Reserve - no income during reporting period Line 171 Brocade - No income rec'd during reporting period Line 183 RBC Br Sweep Money Mkt - no income paid during reporting period Lines 193 & 194 U.S. Bank & Twin City Federal - Checking accounts that do not pay any form of income --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/15212. Public record. Not legal advice.