Katherine A. Constantine

Brokerage #1 (H)

USB Dep Acct (Money Market) — Interest

At & T (pfd) — None — Buy — See part VIII

Blackrock Enhanced Eq Div Tr (ETF) — Dividend — Buy

FT-Preferred Secur & Inc (ETF) — Dividend — Sold

Global X Fd NASDAQ 100 Covered Call (ETF) — Dividend — Sold

Invesco — Dividend — Sold (part)

IShares Broad USD Invt Grd — Dividend — Buy

Pimco Energy & Tactical Cr Opport (ETF) — Dividend — Buy

Pimco Energy & Tactical Cr Opport (ETF) — Sold

Select Sector Spdr Tr Utilities Sector (Index Fd) — Dividend

Southern Co. (common) — Dividend — Sold

Target (common) — Dividend

Xcel Energy (common ) — Dividend

Fridley MN GO (Bond) — Interest

MN Hsg Pub Svc Rev (Bond) — Interest

Mpls MN Library GO (Bond) — Interest

Mpls MN Spl Sch Dist GO (Bond) — Interest

MN St GO Various Purp GO (Bond) — Interest

MN Hsg Res Rev (Bond) — Interest — Redeemed (part)

U S Treasury Note (Bond) — Interest — Redeemed

Brokerage #2 (H)

UBS RMA Gov't Money Mkt Fd-cash equivalent account — Interest

Invesco Diversified Divs (Mutual Fd) — Dividend — Buy (add'l)

(Metropolitan West Ttl Retrn (Mutual Fd) — Dividend

Anoka Cnty MN GO (Bond) — Interest

Brokerage #3 (H)

UBS USA Deposit (money market)-cash equivalent account — Interest

Adobe Systems (common) — None — See part VIII

Alphabet FKA Google (common) — None — See part VIII

Amazon (common) — None — See part VIII

Apple (common) — Dividend

AT&T 5.625% (pfd) — Dividend

Broadcom Inc — Dividend

Costco Wholesale (common) — Dividend

Donaldson Co (common) — Dividend — Buy

DTE Energy (pfd) — Interest — Buy

Dunkin Brands Grp — Dividend — Buy

Home Depot (common) — Dividend

Ishares IBonds 2022 (ETF) — Dividend — Sold (part)

Ishares Core S&P Small Cap ETF — Dividend — Buy

Ishares Core S&P Small Cap ETF — Buy (add'l)

Ishares Natl Muni Bd (ETF) — Dividend — Buy (add'l)

Ishares Natl Muni Bd (ETF) — Buy (add'l)

Microsoft — Dividend

US Bancorp (pfd) — None — Sold — See part VIII

Brokerage #4 (H) Moved to Brokerage #7

Brokerage #5 (H)

UBS Bank USA Dep Acct (money mkt fd)- cash equivalent account — Interest

Blackrock Eq Div Tr (ETF) — Dividend

Brighthouse Shield (Annuity) - ability only to select asset allocation — None — See part VIII

Duke Energy New (pfd) — Interest — Buy

MN Hsg Pub Human Svc (Bond) — Interest

U S Treasury Note (Bond) — Interest — Sold

Verizon Communications (common) — Dividend

Xcel Energy (common) — Dividend

Brokerage Acct #7 (H)

UBS Bank USA Dep Acct (money mkt fd) - cash eqivalent account — Interest

Amazon (common) — None — Buy — See part VIII

Amer Fds Euro Pac Gr (mutual fund) — None — Sold — See part VIII

Apple Inc — Dividend — Buy (add'l)

AT &T (common) — Dividend — Buy

AT &T (common) — Buy (add'l)

Conestoga Small Cap Fd (mutual fund) — Dividend — Buy

Dodge & Cox Fund Int'l Stock (mutual fund) Class F — Dividend

Dodge & Cox Income (mutual fund) Class I — Dividend

Duke Energy 5.625% (pfd) — Interest — Buy

Fidelity Int'l (mutual Fd) — Dividend

Fidelity New Insights (cl i mutual fund) — Dividend

First Trust Pfd Income Fd (ETF) — Dividend — Sold

First Trust Exchange Fd (mutual fund) — Dividend

Global X Fd — Dividend — Sold

IShares Core S & P MidCap (ETF) — Dividend — Buy (add'l)

IShares Russell 1000 Gr (ETF) — Dividend

IShares Russell 1000 Value (ETF) — Dividend

IShares S&P Sm Cap 600 (ETF) — Dividend

Mairs & Power Fd Sm Cap Fd (mutual fund) — None — Sold — See part VIII

Metropolitan West Total Return Bond (mutual fund) — Dividend

Putnam Equity Income Fd (mutual fund) — Dividend — Buy

Putnam Equity Income Fd (mutual fund) — Buy (add'l)

T Rowe Price Gr Stk (mutual fund) — Dividend

The Hartford Midcap Fd (mutual fund) — None — Sold — See part VIII

Vanguard Total Bond Market (ETF) — Dividend

Vanguard Admiral S&P MidCap400 Index (ETF) — Dividend

Vanguard Admiral S&P Sm Cap 600 Index (ETF) — Dividend

Vanguard IntDiv Appr Index (ETF) — Dividend

Wisdom Tree US MidkCap Div (ETF) — Dividend — See part VIII

GE Cap Retrail Bk Utah (C.D.) — Interest — Redeemed

GE Cap Retail Bk Draper Utah(C.D.) — Interest

Goldman Sachs Bk USA NY (C.D.) — Interest

AT & T unsecured OID (pfd) — Interest

AXA Variable Annuity - ability only to select asset allocation — None — See part VIII

Brokerage #8 (H)

UBS Bank USA Deposit Acct (money mkt) - cash equivalent account — Interest

Amazon (common) — None — See part VIII

Amer Fds Euro Pac Gr (cl f-2 mutual fund) — Dividend — Distributed (part) — See part VIII

AT&T 5.625% (pfd) — Dividend — Buy

Chevron Corp (common) — Dividend — Buy

Consetoga Small Cap Fund (mutual fund) — Dividend — Buy

Costco (common) — Dividend — Buy

Dodge & Cox Income Fd (mutual fd) — Dividend

Duke Energy New 5.625% (pfd) — Interest — Buy

Dunkin Brands (common) — Dividend

Etsy, Inc (common) — None — Buy — See Part VIII

Fidelity New Insights (mutual fund) — Dividend — Distributed (part) — See Part VIII

First Trust Pfd Inc (ETF) — Dividend — Sold

Ford (common) — Dividend — Sold

Fundamental Invs (mutual fund) — Dividend — Sold (part)

Fundamental Invs (mutual fund) — Distributed (part) — See part VIII

Ishares Biotechnology (ETF) — Dividend — Sold (part)

Ishares Russell Mid Cap Gr (ETF) — Dividend — Distributed (part) — See part VIII

Ishares MSCI Switz Capped (ETF) — Dividend

Invesco Fin'l Pfd (ETF) — Dividend

Mairs & Pwr Small Cap Fd (mutual fund) — Dividend — Sold

Mairs & Powers Growth Fd (mutual fd) — Dividend — Sold

Metropolitan West Total Return Bond (mutual fund) — Dividend

MFS Growth (mutual fund) — Dividend

Parnassus Mid Cap (mutual fd) — Dividend — Sold (part)

Polen Growth Fd (mutual fund) — Dividend — Buy

Royal Dutch (ADR) — Dividend — Sold

Square Inc (common) — None — See part VIII

Vanguard Admiral Small Cap Fd (mutual fund) — Dividend — Distributed (part) — See part VIII

Vanguard Admiral Mid Cap 400 Fd (mutual fund) — Dividend

Vanguard Div Appr (ETF) — Dividend

Xcel Energy (common) — Dividend

Brokerage Account #10 (H)

UBS Bank USA Deposit Acct (Money Mkt) - cash equivalent account — Interest

Ally Bank Utah (C.D.) — Int./Div. — Buy

Ally Bank Utah (C.D.) — Redeemed (part)

AT&T (pfd) — Dividend — Buy

Goldman Sach Bk Retail (C.D.) — Interest — Redeemed

Southern Company 6.25% (pfd) — Dividend — Buy

Southern Company 6.25% (pfd) — Sold

Suntrust Bank Atlanta GA (C.D.) — None — Buy — See part VIII

TBK Bank SSB TX (C.D.) — None — Buy — See part VIII

US Treas Note 1.5% (Treas) — Interest — Redeemed

U S Treas Note 3.125% (Treas) — Interest — Redeemed

U S Treas Note .875% (Treas) — Interest — Buy

U S Treas Note .875% (Treas) — Redeemed

Brokerage Account #11 (H)

UBS Bank USA Bank Deposit (money market) - cash equivalent account — Dividend — Open — See part VIII

Amer Fd Euro Pacific Gr Fd (mutual fund)_= — Dividend — Open — See part VIII

Fundamental Investors (mutual fd) — Dividend — Open — See part VIII

Fidelity New Insights (mutual fd) — Dividend — Open — See part VIII

Ishares Mid Cap Gr (ETF) — Dividend — Open — See part VIII

Vanguard S&P Sm Cap 600 (ETF) — Dividend — Open — See part VIII

Trust #1 (H)

UBS Bank USA Bank Deposist (money mkt) - cash equivalent account — Interest

Blackrock Enhanced Eq Div Tr (ETF) — Dividend

Twin City Federal Account #1(conservator/ Guardian — None

Computershare Holdings (H)

Discover Financial Svcs (comon) — Dividend

Sears Holding Corp (common) — None

Sears Canada (common) — None

Lands End (common) — None

Advansix Inc (common) — None

Shareowner Online Holdings (H)

Honeywell Int'l (common — Dividend

Allstate Corp (common) — Dividend

Resideo Tech (common) — None

Garrett Motion Inc (common) — None

Broadridge (H)

Morgan Stanley (common) — Dividend

U.S. Bank N.A. Accts (cash & CD's) — Interest

Twin City Federal Acct (Cash) — None

Trustee, Trust #1

Conservator/Guardian Payee, Twin City Federal Account #1

Agreement — 2013/2014 — Dorsey & Whitney LLP (former law firm) Retirement Payment Agreement, fixed payments/no control

Reimbursement — National Conference of Bankruptcy Judges — October 30- November 2, 2019 — Washington, D.C. — meetings and educational programs — partial lodging

Reimbursement — In-Court Seminar — May 29-31, 2019 — Tofte, MN — meetings and educational programs — travel, food, lodging

Income — 2019 — Dorsey & Whitney LLP-retirement and pension — $57,558.96