Name of Regulated Entity: Northland Securities, Inc. Report Period: Third Quarter of 2016 I. CONTRIBUTIONS made to officials of a municipal entity (listed by state) Complete name, title (including any city/county/state or other political subdivision) of municipal entity official Contributions by each contributor category (i.e., for purposes of this form, dealer, dealer controlled PAC, municipal finance professional, municipal finance professional controlled PAC, non-mfp executive officers, municipal advisor, municipal advisor controlled PAC, municipal advisor professional, municipal advisor professional controlled PAC, and non-map executive officer). For each contribution, list contribution amount and contributor category (disclose all applicable categories for each contributor). (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. II. PAYMENTS made to political parties of states or political subdivisions (listed by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category
III. CONTRIBUTIONS made to bond ballot campaigns (listed by state) A. Contribution Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be issued and the name of the entity issuing the municipal securities Contributions, including the specific date the contributions were made, by each contributor category B. Reimbursement for Contributions List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each dealer, municipal finance professional, non-mfp executive officer, municipal advisor, municipal advisor professional, or non-map executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.
IV. MUNICIPAL ENTITIES with which the regulated entity has engaged in municipal securities business or municipal advisory business (listed by state) A. Municipal Securities Business and/or Municipal Advisory Business Municipal Securities Business See Attachment Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, financial advisor, or remarketing agent) Municipal Advisory Business Complete name of municipal entity and city/county Type of municipal advisory business (advice or solicitation) (and in the case of municipal advisory business engaged in by a municipal advisor third-party solicitor, the name of the third party on behalf of which business was solicited and the nature of the business solicited (municipal securities business, municipal advisory business or investment advisory services)) B. Ballot-Approved Offerings Full name of the municipal entity and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category has made a contribution and the reportable date of selection on which the regulated entity was selected to engage in the municipal securities business or municipal advisory business. Full Name of Municipal Entity Full Issue Description Reportable Date of Selection
Signature: electronic Date: Oct 28, 2016 Name: Traci Spanier Address: 45 South 7th Street, Minneapolis, MN 55402 Phone: 612-851-4901 Submit to the Municipal Securities Rulemaking Board completed forms quarterly by due date (specified by the MSRB)
III. ISSUERS with which dealer has engaged in municipal securities business (list by state). Complete name of issuer and city/county Type of municipal securities business (negotiated underwriting, private placement, financial advisor, or remarketing agent) July 1, 21016 September 30, 2016 IA Ackley GO Capital Loan Notes Series 2016 A Franklin,Hardin 7/7/2016 Negotiated IA Floyd County GO County Refunding Bonds Series 2016 A Floyd County 7/12/2016 Negotiated IA Hull GO Capital Loan Notes Series 2016 A Sioux County 7/13/2016 Negotiated IA Mitchell County GO Refunding Bonds Series 2016 A Mitchell County 7/27/2016 Negotiated IA Clay County GO County Refunding Series 2016 A Clay County 8/18/2016 Negotiated IA Wellman GO Annual Appropriation Refunding Bonds Ser 2016 A Washington County 8/23/2016 Negotiated IA Jefferson County GO Bonds Series 2016 A Jefferson County 8/30/2016 Municipal Advisor IA Atkins GO Refunding Bonds Series 2016 A Benton County 8/18/2016 Negotiated MN Bigelow GO Sewer Revenue Refunding Bonds Series 2016 A Nobles County 7/6/2016 Negotiated MN St. Joseph GO Capital Improvement Plan Bonds Series 2016 A Stearns County 7/7/2016 Negotiated MN Cold Spring GO Improvement Bonds Series 2016 A Stearns County 7/12/2016 Negotiated MN Centerville GO Impt Xover Refg Bonds Series 2016 A Anoka County 7/13/2016 Municipal Advisor MN Forest Prairie GO Street Reconstruction Bonds Series 2016 A Meeker County 7/14/2016 Negotiated MN Magnolia GO Sewer Revenue Refunding Bonds Series 2016 A Rock County 7/19/2016 Negotiated MN Lake Crystal Wellcome Memorial ISD 2071 GO Crossover Refunding Bonds Series 2016 A Blue Earth County 7/19/2016 Negotiated MN Hoyt Lakes GO Capital Improvement Plan Bonds Series 2016 A St. Louis County 7/19/2016 Negotiated MN Isanti GO Sewer Rev Bonds Series 2016 A Isanti County 7/19/2016 Municipal Advisor MN New Richland NRHEG ISD 2168 GO Crossover Refunding Bonds Series 2016 A Waseca County 7/26/2016 Negotiated MN Garrison, Kathio, West Mille Lacs Lake Sani Swr Dist GO Sewer Revenue Refunding Bonds Series 2016 A Crow Wing County 7/26/2016 Negotiated MN Laporte GO Wtr & Swr Rev Refg Bonds Series 2016 A Hubbard County 8/2/2016 Negotiated MN Olmsted County GO Xover Refg Bonds Series 2016 A Olmsted County 8/2/2016 Municipal Advisor MN St Stephen GO Improvement Bonds Series 2016 A Stearns County 8/2/2016 Private Placement MN Ely GO Sewer Revenue Refunding Bonds Series 2016 A St. Louis County 8/4/2016 Negotiated MN Stevens County GO Capital Improvement Plan Bonds Series 2016 A Stevens County 8/16/2016 Negotiated MN Martin County GO Drainage Ditch Bonds Series 2016 A Martin County 8/16/2016 Municipal Advisor MN Duluth ISD 709 Full Term Refunding COP Series 2016 A St. Louis County 8/17/2016 Negotiated MN Victoria GO Impt & Tax Incr Bonds Series 2016 A Carver County 8/17/2016 Municipal Advisor MN Victoria GO Perm Impt Revolving Fund Xover Refg Ser 2016 B Carver County 8/17/2016 Municipal Advisor MN North Mankato GO Bonds Series 2016 A Nicollet County 8/30/2016 Municipal Advisor MN Dakota County CDA Sr Hsg Facs Rev Refg (Hosanna! Sr Living ) 2016 A Dakota County 8/31/2016 Negotiated MN Dakota County CDA Txbl Sr Hsg Facs Rev Refg(Hosanna! Sr Living) 2016 B Dakota County 8/31/2016 Negotiated MN Biwabik GO Temporary Improvement Bonds Series 2016 A St. Louis County 9/1/2016 Negotiated MN Kenyon GO Loan Anticipation Notes Series 2016 B Goodhue County 9/1/2016 Negotiated MN Maple Lake GO Improvement Bonds Series 2016 A Wright County 9/8/2016 Negotiated MN Hancock GO Impt Bonds Series 2016 A Stevens County 9/13/2016 Municipal Advisor MN Ely HRA Gov Hsg Rev Refg Bonds Series 2016 A County GO St Louis County 9/14/2016 Municipal Advisor MN Big Lake GO Impt Xover Refg Bonds Series 2016 C Sherburne County 9/15/2016 Negotiated MN Blue Earth County GO Ditch Bonds Series 2016 A Blue Earth County 9/15/2016 Municipal Advisor
MN Aitkin GO Water Revenue Bonds Series 2016 A Aitkin County 9/20/2016 Negotiated MN Litchfield Township GO Cert of Indebtedness 2016 A Meeker County 9/26/2016 Municipal Advisor MN Appleton GO Water and Sewer Revenue Bonds Series 2016 B Swift County 9/29/2016 Negotiated MN Appleton GO Equipment Certificates of Indebtedness Ser 2016 A Swift County 9/29/2016 Private Placement ND Killdeer Sales Tax Rev Approp Bonds(Wellness Ctr Proj) Ser 2016 Dunn County 8/10/2016 Negotiated