Joni Ernst amended personal financial disclosure

October 31, 2013

Via Hand DeliveryMr. John C. SassamanStaff Director and Chief CounselSenate Select Committee on Ethicsc/o Secretary of the SenateOffice of Senate Public Records232 Hart Senate Office BuildingWashington, D.C. 20510

Dear Mr. Sassaman:

k ;~ ;~yP,iFr ~ ~ ~ ~ ~_

~ 3 CCU ~ ! ~~~ t = 3

Attached are five pages to amend and supplement Part IIIA of my financial disclosure report.Upon further review of the report I submitted on August 7, 2013, and in consultation with yourstaff, I have determined that this additional information is necessary. I certify that the statementsI have made on the pages attached are true, complete, and accurate to the best of my knowledgeand belief.

Sincerely,

~.

J ni K. Ernst

Repo

rtin

g Ind

ivid

ual'

s Name

~ Amendm

ent

Pace Number

PART III

A. PUBLICLY TRADED ASSETS /A

ND UNEARNED INCOME SOURCES

Toni K.

Erns

t~

BLOCK A

BLOCK B

BLOCK C

Identity of Pu

blic

ly Traded Assets

Valuation of Assets

Type and Amount of I

ncome

And Unearned Income Sources

At the

clo

se of r

eporting per

iod.

Repo

rt th

e complete name of e

ach

publ

icly

If No

ne, o

r le

ss tha

n $1

,00,

traded asset held

by you, your spouse, or

check the

firs

t column.

Typ

eof I

ncome

Amount of I

ncome

your

dependent ch

ild,

(See

p.3,

CONTENTS DF REPORTS, 'Par

t 8 of

Inst

ruct

ions

) for #p

roduction of i

ncome or

inve

stme

nt wh

ich:

(1) h

ad a value exceedi

ng $1

,000

at the

~fl

~Actual

clos

e of t

he reporting period; an

d/or

o000

~Ot

her

o oAm

ount

(2) g

ener

ated

over $2

00 in

"unearned"

0 0~oo

~"

No

~

income du

ring

the reporting period.

~o0

o 00 0~

~~~o

_

o00

~o

Required

Inclu

de on PART tllA a complete

m~

o o0 00 00 ,~0 o00~~~~

o~n

c~

vio

~

~

~(Specify

~

~o0

o 00 00 00 00~

0~

o oif

"Other"

iden

tifi

cati

on of e

ach public bon

d mutual

'~

0 ~~~ yr~~

'~

0~~

o~

~

~

0o o

y ~ ~

a~ 5~

v ~Type)~

0 o o0 "'

-cv

0 ~ ~n

0 ~0 ~ ~r

0 ~ ar~

0~

o~

o oSpecified

fund, p

ubli

cly t

rade

d pa

rtne

rshi

p interest

m.-

~

~

~~

~~

Io o0000 o

y.~

F- .~m

~r~~~

~

~

~

o o0

o 0'

exce ted investment fu

nd, b

ank account,

~~o0000~o

o'o~

~N~aa~

-

~r

~~

.- o~ 0o 0

r"~,o

ui~,

except

ed and

ualified blind tr

ust and

P q

~

~ z~~~~~o

'~Q~;

o>

m~

~~~

~~

o00

~o~oo

~o

publ

icly

traded asset of a

ret

irem

ent p

lan.

~~~~~~

ci~~~ozo~

_~

u~u~

c~z~~~~~~~

o~o

S~Exampl

e: DC,

IBM Cor

p. (s

tock

)X

XExample

XExample

or J

(S)

Keystone Fund

XX

Example

XExample

1Tr

ansA

meri

ca Inv

estm

ents

(Rot

h IR

A)X

XX

2TA Asset Al

loca

tion

-- Mo

dera

teX

XX

X

3TA Bla

ckRo

ck Ta

ctical Al

loca

tion

XX

XX

4TA PiMCO Total Ret

urn

KX

XX

5TA Bla

ckRo

ck Glo

bal A

lloc

atio

nX

XX

X

6Re

liaS

tar Li

te Ins

. Co

. (457 P

lan)

XX

X

71N

G TRowePrice Captl Apprec. Pt

.X

XX

XSN.

8ING Growth and Income Port

IX

XX

X~;

9Fi

deli

ty V1P

Con

traf

und Po

rt I

XX

XX

~.

10ING InvVanKpn Com

stoc

k Port f

XX

XX

EXEMPTION TEST (s

ee /n

structions be

fore marking bo

x): I

f you

omi

tted

any asset because

if meets th

e thr

ee-p

art t

est f

or exemption de

scri

bed in th

e instructions, pl

ease

che

ck box to

the

ri Ig

-~

'*` Th

is ca

tegory applies on

ly if

the asset is

/was

held

inde

pend

entl

y by

the spo

use or dep

ende

nt ch

ild. I

f the

asset is/was ei

ther

held by t

he fi

fer or

jointl

y hel

d, use the

oth

er ca

tegories of

valu

e, as appropriate.

q

~~

I __...

Reportin

g IndividuaYs Name

~ Amend[hent

-

Page Numbe

r

Toni K.

Erns

tPART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

2

BLOCK A

BLOC

K B

BLOC

K C

Identity of P

ublicly Traded Assets

Valuation of Assets


ncome

And Un

earned Income Sources

At the dos

e of r

e or

tin

p g pe

riod

.

Repo

rt th

e compl

ete name of e

ach

publ

icly

If None, o

r le

ss th

an $1

,001,

trad

ed asset held by you, your spouse, or

check the

first column.

Typ

eofI

ncome

Amount ofI

ncome

your dependent ch

ild, (See

p.3,

CONTENTS OF REPORTS, Pa

rt 8 of

Instructions) f

or production of i

ncome or

inve

stme

nt wh

ich:

(1) h

ad a value exceedi

ng $1

,000 at

the

,.~

o.o

Actual

clos

e of

the reporting period; a

nd/or

o000

~ot

her

oAm

ount

(2) g

ener

ated

over $2

00 in

"unearned"

~0

~oo

"N

oincome du

ring

the reporting period.

~o0o 00 0~~~~

o~

~,

~~

oga~

oRequired

Include a

n PART III

A a complete

wO

O~o~o00 O

~ ~

~ N'n EAo o

~~ ~(S

peci

fy~

OOo O0 O00 O0 p~ too p

ifOt

her'

iden

tifi

cati

on of e

ach

public bon

d, mutual

~

4 ~0 ~

o ~c~ ~

~n~~

o o~, ~

en ~~o o

~,

~

m ~~+~

v ~T Y PQ)

~

0 o0 ~'0 ~ ~0 ~0 ~0 ~~

0 o~, ~

o oSpecified

fund

, pub

licl

y tra

ded pa

rtne

rshi

p in

tere

st,

~'~

~~

~'~~~

~~~O

OO~O~~

N~~ C9.0~ ~

m~ `~ ~

N ~'~

~'~

~~

~o O

Oo O

excepted investment f

und,

ban

k account,

~

~ rr- o0o 0a 0o 0~0 o0 00 0

~,

v ~~~

~ aQ

v ~?

o ~--

y~ ~~

~

~~

.-o0o 0~o~o~

excepted and

qual

ifie

d blind t

rusf

, and

d oO p

O ~

O ~O ~

O NO ~

L ;O ~

O ~

O NL >

N o~p >

.. m

"=

~

~~

~~

N oN

O oO ~

O oO ~

O ~p"o

L ~O o

v ~

publ

icly

trad

ed asset of a ret

irem

ent p

lan.

Z'~

~'~'~

~'~

o~~~oz~~~

vu~

u~c~

z~~~~~~~o~o

S~E~cample: D

C,IBM Corp. (s

tock)

XX

Example

XExample

or J

CS)

Keystone Fund

XX

Exam

ple

XExample

1ING InvVanKpn Grw

&Inc. Po

rt Sry

XX

XX

2ING Large Cap

Value Por

t In

st.

XX

XX

3ING GLobal Resources Po

rtfo

lio S

ryX

XX

X

4(J) ING USA Annuity &Li

fe ZRoth IRA)

XX

X

5INS Retireme

nt Gro

wth

Port

foli

o (A)

XX

XX

6ING Cla

rion

Real Es

tate

Por

tfol

io (S

)X

XX

X

7ING Ame

rica

n Funds International

XX

XX

Portfolio

8(DC) Am

eric

an Funds (E

duca

tion

IRA

)X

~X

X

9New Per

spec

tive

Fun

d -- A

XX

XX

10(J) US Ban

k (Savings)

XX

X

EXEMPTION TEST (s

ee in

stru

ctio

ns be

fore

marki

ng box): If

you

omitted any asset be

caus

e it meets

the

three-part te

st fo

r exemption described in

the in

structions, p

lease check box to

the

right.

q'*' Th

is category applies on

ly if

the asset is/was he

ld ind

epen

dent

ly by t

he spo

use or dependent ch

ild. I

f the asset is

/was

eith

er held by

the fi

ler o

r joi

ntly h

eld,

use the

oth

er ca

tegories of

value, as app

ropr

iate

.

Repo

rtin

g Individual's Name

~ Amendm

ent

Paga Num

ber

Joni

K. E

rnst

PART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

3

BLOCKA

BLOCK B

BLOCK C

Iden

tity

of Pu

blic

ly Tra

ded Assets

Valuation of Assets

Type and Amount of Income


At the

clo

se of r

eporting period.

Repo

rt th

e complete name of e

ach

publ

icly

If None, o

r le

ss th

an $1

,00,

trad

ed asset held by you, your spouse, or

check the

firs

t column.

Typ

eof I

ncome

Amount ofIncome

your dependent ch

ild,

(See

p.3,


rt B of

Instructions) f

ar production of i

ncome or

investment wh

ich:

(1) h

ad a val

ue exceedi

ng $1

,000 at

the

o-~

Actual

clos

e of


nd/or

~o00

3ot

her

oAmount

(2) g

ener

ated

over $2

00 in

"unearned"

~o

~oo

"N

oincome du

ring the reporting period.

~o000~~~

oo

z

=o00~

oRequired

include on PART III

A a compl

ete

m wo o0 00 00 ~,0 o00~o~

~i N~u

~o o

~

~,

v~~

(Spe

cify

~

~o0

o 00 00 00 00~

0~

o oif

iden

tifi

cati

on of e

ach

public bon

d mutu

al'

'~ ym ~o ~o

Repo

rtin

g Ind

ivid

ual'

s Name

~ Amendm

ent

Page Number

PART IIIA. PUBLICL

Y TRADED ASSETS AND UNEARNED INCOME S~URC~S

4Jo

ni K.

Ernst

BLOC

K A

BLOC

K B

BLOC

K C

Iden

tify

of Pu

blic

ly Traded Assets

Valuation of As

sets


ncome

And Un

earn

ed Income Sources

at th

e dose o

f rePortiny pe

riod

.Re

port

the complete name of e

ach

publ

icly

if Non

e, or

less

than

~~,00

~,traded asset he

ld by you, your spouse, or

check the

firs

t column.

Typ

eofI

ncome

Amount ofIncome

your dependent ch

ild,

(See

p.3,


rf 8 of

Inst

ruct

ions

) for pro

duct

ion of i

ncome or

investment wh

ich:

(1) h

ad a val

ue exceedi

ng $1

,000 at

the~

o~

Acfual

clos

e of


nd/or

o000

~ot

her~

oAm

ount

(2) g

ener

ated

over $2

00 in

"unearned"

0 0moo

~~

0income du

ring the reporting period.

~o0o 00 oa~~~

o' ~

_~

o0o 0~

oRequired

Incl

ude on PART III

A a complete

m~

o o0 00 00 ,r

,0 o00~

o~o~

~n N~

'*a

~no o

~,~

in~

v(Specify

TYPe)

~ wo 00 0

o 0 00 0 00 00 0 ~0~

0~ f3o o ~

if"Othe1"

iden

tifi

cati

on of e

ach public bond

mutual

'~

m ~o ~o ~

c~ ~in ~~o

~~

~

~

o oN ~'

c2~

~

o o o~'

cv~ u~~~ v>

0 ~ ~r~

4 o~o

Spec

ifie

dfu

nd, p

ubli

cly t

rade

d pa

rtne

rshi

p interest,

'

';~

ar ~

yr ~~

~Io ~o

~- go ~o o

.~

~-~

F- ~~

~~

~'

`~'

`;'

~~

~

~

o ~~ oo ~


und

bank

account

o~ o

r- o 0

~- 0 0o 00 0

o 0~

o 0c 0c o~

~o

u~d

c ~,.o

~~

~~

a: a

a~ a~ ,~

o~

o~

.- 0~ 0~ o 00 0

o 0 0~~,o o

ui~,

except

ed and

qual

ifie

d blind t

rust

, and

d C oO

~fjO ~,

0 O0 ~ N0 Q ~,

N,

OO ~;

uj N

G) >C Q

>_,,,

C ~,~

t1~

~~ X

~C o~ ~

NO ~

~p NO ~

LL7~

O ~O

~ >~

d >pu

blic

ly tr

aded

asset of a retirement p

lan.

z~~

~r~~~o~~~oz

oa=

vu~

wc~

z~~

~,~,~~~

o~

o

S~ DC,

IBM Cor

p. (S

foCk)

XX

Exempfe

XExample

Example:

or J

(S)

Keystone Fund

XX

Example

XExample

1(S) P

ruden#ial (Ro

th IRA)

XX

X

2AST T,Rowe Pr

ice As

set Al

loca

tion

XX

XX

3AST Fir

st Tr

ust Balanced Tar

get

XX

XX

Portfolio

4AST Adv

ance

d Strategies Po

rtfo

lio

XX

XX

5AST CLS Mod

erat

e Assett All

ocat

ion

XX

XX

6AST Inv

estm

ent Grade Bond

XX

XX

7(S

) ING USA Ann

ity &L

ife In

s. (Rot

hX

XX

IRA

8ING American Funds International

XX

XX

Portfolio

9ING Ret

irem

ent G

rowt

h Po

rtfo

lio (A)

XX

XX

10ING Cla

rion

Rea

l Es

tate

Por

tfol

io {S

)X

XX

X

EXEMPTION TEST (s

ee in

structions be

fore marking box): If

you

omi

tted

any asset because

it meets the

thre

e-pa

rt te

st fo

r exemption de

scri

bed in the

inst

ruct

ions

, ple

ase che

ck box to

the

righ

t.

q""` Th

is ca

tegory app

lies

only if

the asset is

/was

held

independently by th

e spo

use or dep

ende

nt ch

ild.

If the

asset is

/was

either he

ld by t

he fi

ler or

iant

ly he

ld, u

se the

othe

r categories o

f val

ue, as app

ropr

iate

.

;~

Repo

Aing

Individual's Name

~ ~ Amendm

ent

Joni K. Ernst

BLOCK A

Identity aF Publicly Trade

d Assets


Report the

compl

ete.

name of e

ach

publ

icly

traded asset he

ld by you, your spouse, or

your dependent ch

ild, (See p.

3,CONTENTS OF REPORTS, Pa

rt B of

Inst

ruct

ions

) for pro

duct

ion of in

come

or

investment which:

(1) h

ad a valu

e exceeding $1

,000

at the

close of t

he rep

orti

ng period; an

d/or

(2) g

ener

ated

over $2

00 in

"unearned"

inco

me dur

ing the reporting per

iod.

Incl

ude on PART IIIA a compl

ete

iden

tifi

cati

on of e

ach

public bond, mutual

fund

, pu

blic

ly tra

ded pa

rtne

rshi

p in

tere

st,


und, bank account,

excepted and

qual

ifie

d bl

ind tr

ust,

and

publ

icly

traded asset of a

re#i

reme

nt pl

an.

S~

IBMCorp. (

stock)

Exampl

e: DC,

-~

orJ

fS)

Keystone Fund

1 St

ate of Io

wa Ret

irem

ent (457 Plan)

2 3 4 5 6 7 8

Page Numbe

r

PART III

A. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

~

5

BLOCK B

Valu

atio

n of Assets

At the

close of r

eporting period.

If None, or

less

tha

n $1

,01,

check the

firs

t column.

o 0

0

0 0 0 ~

~

~

O

~

o 0 0~

o 0 0

c

o 0 0 o d~ X 4 0 0

m o 0 0

~ o~ u~

u~ o

yL O O

~ ~ ~ p

LL'1 N fH p

N 4 0 o N~

o v>

r~

o~

~

~

~ v~ ~ ~ , o

.- o 0

~

~

o 0 0 0

~ ~ o 0 0 0 o vs o 0 0 'y3

y O O O p ~ ~ L O O O ~

~ b o o

u~ o d o o

ms ~

Z

r

~sr

~ ~r ~ ~ O

its ~ ~ O

BLOCK C

Type and Amount of Income

Type of I

ncome

v c LPL c

N

E N

F"N 'D

c ~ ~

'cQ

c

~"' m

w ~ ~ ~ ~

a~

'

... ~

-.fQc ~ ~ ' e

z a o'

c ~ v

u~

u~ c~

Amount of Income

Actual

Other

oAmount

NO

~

~o~

oRe

quir

ed'Sp

ecif

y~

o000~~

oif

7-ype)

~o00000~o~o

"Ot

he["

~

~

~ ~

~ ~

~ ~

"' itr"'

~sr

r' ~`~''

~~ o

~

0~ 0

S

cifi

ed~

y3o

~~

~~

.-

o~u~

C~_

~

o O0 L[

)0 O0 In0 O0~

O~~

~

o z~

~r~~~~

i~> O

vs

> O

Example

XEx

ampl

e

Exam

ple

XExample

X

EXEMPTION TEST (s

ee in

structions be

fore marking bo

x): I

f you

omi

tted

any asset because

it meets

the t

hree

-par

t test f

or ex

emption de

scri

bed

in the

inst

ruct

ions

, ple

ase check box

to the

right,

q I

'"' This

category app

lies

only if

the asset is

/was

held

independently by th

e spo

use or dep

ende

nt ch

ild.

1f the

asset i

slwas e

ither h

eld by

the f

iler o

rjoint

ly held, u

se the

other c

ategories o

f value, as appropriate.

' ~~

Documents

Joni Ernst amended personal financial disclosure