2020-11-16T11:48:04-06:00 2019-12-31 420714325 RSM US LLP 801 NICOLLET MALL WEST TOWER STE 1100 MINNEAPOLIS MN 554022526 990PF 2019-01-01 453080856 NORMAN AND ANN HOFFMAN FOUNDATION NORM 6127667255 116 LAKE STREET WEST WACONIA MN 55387 GERALD R STORMS DIRECTOR/PRESIDENT 6127667255 2020-11-16 1 KACIE MCEWEN P01599614 6123324300 2020-11-16 68.47.31.197 2020-11-16 05:52:14 CS P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 03529DF6567CFB0D20C3C8C4F0F8DA9C5BDC3671 2019 2021-04-22 16:20:28Z X 6553304 X X 43389 43389 122231 122231 396459 5281509 396459 562079 562079 3879 0 3879 19800 0 19800 7348 0 7348 11550 5775 5775 652 0 0 36850 32855 3995 80079 38630 40797 2170820 2170820 2250899 38630 2211617 -1688820 523449 2363 10132 10132 135692 62759 62759 1865334 1918472 1928268 4306355 2650934 4552145 6309744 4642297 6553304 0 0 X -355761 -355761 0 0 6665505 4998058 6309744 4642297 6309744 4642297 6309744 -1688820 21373 4642297 0 4642297 PUBLICLY TRADED SECURITIES P 5281509 4885050 396459 396459 396459 0 1176488 8757129 0.134346 174383 8580703 0.020323 958763 2882081 0.332663 62358 1197233 0.052085 59597 1307642 0.045576 0.584993 0.116999 7283796 852197 5234 857431 2211617 X 5234 0 5234 0 5234 1706 0 0 1706 X 0 3528 0 0 0 0 0 0 0 0 0 0 1 1 MN 1 0 0 0 0 1 N/A NORMAN H HOFFMAN 9524421829 116 LAKE STREET WEST WACONIA MN 55387 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 NORMAN H HOFFMAN 116 LAKE STREET WEST WACONIA MN 55387 DIRECTOR/PRESIDENT 2.00 0 0 0 ANNA M HOFFMAN 116 LAKE STREET WEST WACONIA MN 55387 DIRECTOR/SECRETARY 1.00 0 0 0 GERALD R STORMS 116 LAKE STREET WEST WACONIA MN 55387 DIRECTOR/VP/TREASURER 1.00 3879 0 0 NONE 0 NONE 0 0 7012727 341990 40000 7394717 0 0 7394717 110921 7283796 364190 364190 5234 5234 358956 0 358956 0 358956 2211617 0 2211617 5234 2206383 358956 0 0 516985 742072 1259057 2211617 0 0 0 358956 1852661 0 0 3111718 0 0 0 0 0 0 0 3111718 516985 742072 1852661 NORMAN H HOFFMAN ANNA M HOFFMAN X AMERICAN DIABETES ASSOCIATION 2451 CRYSTAL DRIVE SUITE 900 ARLINGTON VA 22202 NONE PC PROGRAM SUPPORT 25000 ASCENSION CATHOLIC SCHOOL 601 VAN BUREN STREET OAK PARK IL 60304 NONE PC EDUCATION - GENERAL PROGRAM SUPPORT 3000 FREEDOM FOUNDATION OF MINNESOTA 520 NICOLLET MALL STE 510 MINNEAPOLIS MN 55402 NONE PC PROGRAM SUPPORT 5000 HOLY FAMILY HIGH SCHOOL 5195 W 144TH AVE BROOMFIELD CO 80023 NONE PC EDUCATION - GENERAL PROGRAM SUPPORT 25000 NET MINISTRIES 110 CRUSADER AVE W WEST ST PAUL MN 55118 NONE PC PROGRAM SUPPORT 30000 RIDGEVIEW FOUNDATION 500 S MAPLE ST WACONIA MN 55387 NONE PC CONSTRUCTION OF EMERGENCY CENTER 2000000 SHARING AND CARING HANDS 525 N 7TH ST MINNEAPOLIS MN 55405 NONE PC PROGRAM SUPPORT 2500 ST JOSEPH CATHOLIC CHURCH 41 E 1ST STREET WACONIA MN 55387 NONE PC PROGRAM SUPPORT 20000 ST PAUL SEMINARY SCHOOL 2260 SUMMIT AVE ST PAUL MN 55105 NONE PC EDUCATION - GENERAL PROGRAM SUPPORT 25000 UNIVERSITY OF MN FOUNDATION 200 SE OAK ST 500 MINNEAPOLIS MN 55455 NONE PC PROGRAM SUPPORT - DONATION OF SECURITIES WITH FMV ($25,320); COST BASIS ($3,947) 25320 UNIVERSITY OF NORTH DAKOTA FOUNDATION 3501 UNIVERSITY AVE STOP 8157 GRAND FORKS ND 58202 NONE PC PROGRAM SUPPORT 10000 2170820 0 14 43389 14 122231 18 396459 0 562079 0 562079 0 0 0 0 0 0 0 0 0 0 TAX PREP FEES 11550 5775 5775 CAPITAL ONE NA MCLEAN VA CD FDIC #04297 49995 50193 COMENITY CAPITAL BANK SALT LAKE CITY UT CD 49075 49803 GENL MTRS FINL CO INC SR NOTE CPN 3.200% DUE 07/13/20 50039 50229 GOLDMAN SACHS BANK USA NEW YORK NY CD FDIC SEMI CPN 1.850% DUE 02/17/21 49720 50102 GOLDMAN SACHS GROUP INC NOTE 49659 50632 HSBC BANK USA NA MCLEAN VA CD FDIC SEMI CLLB CPN 2.000% DUE 10/21/22 49775 50047 JEFFRIES GRP LLC SR NOTE STEP 49688 49966 JPMORGAN CHASE BANK NA COLUMBUS OH CD FDIC #00628 CLLB 99990 100037 JPMORGAN CHASE BANK NA COLUMBUS OH CD FDIC QTRLY CLLB CPN 1.600% DUE 5/16/21 49700 50005 M1 BANK MACKS CREEK MO CD FDIC #09797 IAM CLLB 99950 100000 METABANK SIOUX FALLS SD CD DFIC #30776 CLLB 149925 150032 MORGAN STANLEY BANK NA SALT LAKE CITY UT CD FDIC #32992 199979 200524 MURPHY OIL CORP SR NOTE 48473 51000 SAFRA NATL BANK OF NY NEW YORK NY CD 149888 150000 STATE BANK OF INDIA NEW YORK NY CD FDIC #33682 CLLB IAM 149850 150000 STERLING NATL BANK MONTEBELLO NY CD FDIC #30337 IAM 124963 125000 GOLDMAN SACHS BANK USA NEW YORK NY CD FDIC #33124 CPN 2.650% DUE 04/27/20 99640 100322 ABBOTT LABS SR NOTE CPN 2.550% DUE 03/15/22 49700 50820 BANKUNITED NA MIAMI LAKES FL CD FDIC #58979 IAM 149963 150000 BENEFICIAL BANK PHILADELPHIA PA CD FDIC #15697 49050 49833 BENEFICIAL BANK PHILADELPHIA PA CD FDIC #15697 49500 49775 BMO HARRIS BANK NA CHICAGO IL CD FDIC #16571 99950 99948 AIR LEASE CORP NON CUML PERPETUAL PFD SER A FXD/VAR 6.15% AT COST 50390 55080 BANK AMERICA CORP NON CUML PERPETL CONV PFD SER L 7.25% AT COST 59800 72450 BRIGHTHOUSE FINL INC REPSTG 1/1000TH INT NON CUML A PERPTL 6.6% AT COST 63300 69375 CITIGROUP INC DEP SHS REPSTG NONCUML PFD SER J FXD/VAR PERPTL 7.125% AT COST 50480 56680 COLONY CAPITAL INC NEW PERPETUAL PFD SE I 7.15% AT COST 154488 169120 FIRST TRUST NASDAQ CYBERSECURITY ETF AT COST 51600 75070 ISHARES AEROSPACE & DEFENSE ETF AT COST 50120 77728 ISHARES GLOBAL INDUSTRIALS ETF AT COST 27312 77824 ISHARES MSCI BRIC ETF AT COST 59329 90615 ISHARES NASDAQ BIOTECHNOLOGY ETF AT COST 122872 234995 ISHARES RUSSELL 1000 VALUE ETF AT COST 57561 136480 ISHARES RUSSELL 2000 GROWTH ETF AT COST 114357 214220 ISHARES RUSSELL 2000 ETF AT COST 71389 82835 ISHARES RUSSELL MID CAP ETF AT COST 27788 119240 ISHARES TECHNOLOGY ETF AT COST 89167 174450 ISHARES U S MEDICAL DEVICES ETF AT COST 85880 158592 ISHARES US FINANCIALS ETF AT COST 218685 296227 ISHARES US HEALTHCARE ETF AT COST 86439 129432 ISHARES US INDUSTRIALS ETF AT COST 63814 100584 PEOPLES UNITED FINANCIAL INC NON CUML PERPETUAL SER A FXD/VAR PFD 5.625% AT COST 47700 56320 SECTOR FINANCIAL SELECT SECTOR SPDR ETF AT COST 34989 123120 SECTOR MATERIALS SELECT SECTOR SPDR ETF AT COST 33360 92130 SPDR S&P DEVELOPED WORLD EX US ETF AT COST 85443 144210 SPDR SERIES TRUST S&P DIVIDEND ETF AT COST 50120 107570 TWO HARBORS INVESTMENT CORP SER B FXD/VAR CUML REDEEM PFD 7.625% AT COST 52100 54880 VANGUARD INDUSTRIALS ETF AT COST 16428 61552 VANGUARD INFORMATION TECHNOLOGY ETF AT COST 29500 215958 VANGUARD SMALL CAP VALUE ETF AT COST 6191 20561 WELLS FARGO & COMPANY DEP SHS 1/1000TH INT PERPTL A SER Q FXD/VAR AT COST 47565 54780 WELLS FARGO & COMPANY PERPETUAL PFD CONVERTIBLE CL A 7.5% AT COST 61663 72500 ALPHABET INC CL A AT COST 55684 66970 AMAZON.COM INC AT COST 50930 64674 CHEVRON CORP AT COST 48780 48204 INVESCO DWA CONSUMER CYCLICALS MOMENTUM ETF AT COST 37300 137725 INVESCO DWA CONSUMER STAPLES MOMENTUM ETF AT COST 85897 185225 INVESCO DWA UTILITIES MOMENTUM ETF AT COST 45204 102960 ISHARES EXPANDED TECH SOFTWARE SECTOR ETF AT COST 105739 233040 ISHARES MSCI EAFE ETF AT COST 91925 104160 JPMORGAN CHASE & CO AT COST 32100 41820 SELECT SECTOR COMMUNICATION SERVICES SELECT SECTOR SPDR ETF AT COST 51888 67038 VANGUARD COMMUNICATION SERVICES ETF AT COST 35657 65751 ENTROPY SOLUTIONS LLC AT COST 40000 40000 LEGAL FEES 7348 0 7348 MINNESOTA ATTORNEY GENERAL FEE 25 0 25 INVESTMENT MANAGEMENT FEE 30362 30362 0 ACCRUED INTEREST PAID 2488 2488 0 SERVICE FEES 5 5 0 PAYROLL EXPENSE 3970 0 3970 FMV TO COST BASIS ADJUSTMENT FOR DONATED SECURITIES 21373 2018 EXCISE TAX 42 0 0 2019 ESTIMATED PAYMENT 610 0 0