October 31,2013 Via Hand Delivery Mr. John C.

Sassaman Staff Director and Chief Counsel Senate Select Committee on Ethics c/o Secretary ofthe Senate Office of Senate Public Records 232 Hart Senate Office Building Washington, D.C. 20510 Dear Mr. Sassaman:

k r ~ ~~

;~ ~ ~_ ;~yP,iF

~ 3 CCU ~! ~~~ t = 3

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

~. J ni K. Ernst

Reporting Individual's Name

~ Amendment

Pace Number

Toni K.Ernst
BLOCK B BLOCK C

PART IIIA. PUBLICLY TRADED ASSETS /AND UNEARNED INCOME SOURCES

BLOCK A

Identity of Publicly Traded Assets And Unearned Income Sources Type of Income

Type and Amount of Income

Amount of Income

Actual

~ o Other N _ ~ m
o ~ o 0 0 ,~ o 0 ~ ~ ~ m .~ ~ yr ~ ~ ~ ~ 0~~~~ o ~n c~ vi o 0~~ ~ o o ~ ~ 0 0 '~ o I o

Amount o o 0 0 ~ Required

Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child,(See p.3, CONTENTS DF REPORTS,'Part8 of Instructions)for #production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in "unearned" income during the reporting period. fl 0 0 0 0 o 0 0 ~ o o o 0 0 0 ~ ~ ~ ~ o 0 0 0 0 0 ~ ~"

o ~ o

Include on PART tllA a complete

identification of each public bond 'mutual fund, publicly traded partnership interest ' exce ted investment fund, bank account, and q ualified blind trust~ and excepted P publicly traded asset of a retirement plan. ~ ~ ~ ~ ~ o 0 0 00 ~ ~ ~ ~ ~ ~ o z ~ ~ ~ ~ ~ ~
X X X X

o ~ ' ci

0 o ~ ~

0 o' Q ~

0 o ~ ~

o ~ ; o o z

y ~ N ~ a a ~ > m ~ ~~ ~ ~ ~ o ~ _ ~ u~ u~ c~

o 0 0 0 0 ~ ~ if ~ ~ (Specify ~ o 0 0 0 0 0 0~ o o 0~ o "Other" y a~ ~ v Type) 0 0 0 0 0 0 o ~ o ~ ~ ~ ~ o o "'cv ~ ~n ~ ~ ~r ~ ar ~ ~ o o Specified ~ 5 F- m 0 0 .~ .~ ~ r ~ ~ ~ ~ ~ o ~r .- ~ o r" ui

o 0 0 ~, o ~, ~ ~ o 0 0 ~ o ~ o o ~ o z ~ ~ ~ ~ ~ ~ ~ o ~ o

Example Example X

Example Example

S~ IBM Corp. (stock) Example: DC, (S) Keystone Fund or J

1 TransAmerica Investments (Roth IRA) X X X K X X X X X X X X X X X X X X X

X X X X X

X X X X X X X X X X X ~; X X ~. X
K

TA Asset Allocation -- Moderate

TA BlackRock Tactical Allocation

TA PiMCO Total Return

TA BlackRock Global Allocation

6 ReliaStar Lite Ins. Co.(457 Plan)

1NG TRowePrice Captl Apprec. Pt. SN.

ING Growth and Income Port I

Fidelity V1P Contrafund Port I

10

ING InvVanKpn Comstock Port f

-~ EXEMPTION TEST(see /nstructions before marking box): If you omitted any asset because if meets the three-part test for exemption described in the instructions, please check box to the ri Ig '*` This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the fifer or jointly held, use the other categories of value, as appropriate.

~~

__...

Reporting IndividuaYs Name -

~ Amend[hent

Page Number

Toni K.Ernst
BLOCK B Valuation of Assets
At the dose of reporting period.

PART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

BLOCK A Identity of Publicly Traded Assets And Unearned Income Sources If None, or less than $1,001,
check the first column.

Type ofIncome

Amount of Income

Actual

,.~ o ~ ~ other N ~ ~ 0 ~ o ~ ~ ` ~ o y~ ~-- ~ N o N z ~

Amount

4 ~
~

Required o ~ o if to p ~, o Other' ~ o o Specified o O 0 0 0 ~' ~ ~ ~ ~' N ~ ' ~ ~ ~ ~ ~ .O O O o ~ o ~ ~ ~ o~ O v o ~ ~ o

Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child,(See p.3, CONTENTS OF REPORTS, Part8 of Instructions)for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in "unearned" income during the reporting period. Include an PART IIIA a complete identification of each public bond, mutual fund, publicly traded partnership interest, excepted investment fund, bank account, excepted and qualified blind trusf, and publicly traded asset of a retirement plan. ~ ~' ~ d o Z r O p '~
X X ~

o 0 O o ~ 0 o ~ ~ ~ ~ ~ ~' ro 0 O O ~ ~ ~' ~' X X X X X X X X X X X X X X ~ X X X X X X X X X X

0 0 o 00 ~ o 0 0~~~~ ~ ~ ~ o 00 O ~ N ~, en o c~ ~n ~ ~ ~ o ~ ~ ~ ~ ~ O O O ~ ~ 0 0 o a o 0 0 0~ o 0 L O O O O O ~ N ~ ;~ ~ ~ ~' ~ o ~ ~ ~, ~ ~ ~ (Specify v TYPQ) ~ m v ~? ~ c~ Example X X X X X X X X X X X

o . o 0 ~ " o ~ o o 'n o ~ EA ~ o ~, m ~+ o ~ ~ ~ ~~ O ~ ~ N . 0 ~ ~ ~ C9 ~ 0 v 0 ~, ~ ~~ a Q O L N ~p .. ~ N > o > m "= ~ ~ ~ ~ o z ~ ~ ~ v u~ u~

o o g a~ 0 0 00 p O 0 0 O 0 ~ ~ o ~ o ~ ~ ~ ~ O o 0~ o 0 O O p" L ~ ~ o ~ ~ ~ ~ o

S~

IBM Corp. (stock)

E~cample: DC, or J CS) Keystone Fund X X X

Example

ING InvVanKpn Grw &Inc. Port Sry

ING Large Cap Value Port Inst.

ING GLobal Resources Portfolio Sry

4 (J) ING USA Annuity &Life ZRoth IRA)

5 X X

INS Retirement Growth Portfolio(A)

ING Clarion Real Estate Portfolio (S)

ING American Funds International Portfolio

8 (DC)American Funds (Education IRA)

New Perspective Fund -- A

10 (J) US Bank (Savings)

EXEMPTION TEST(see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. '*'This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the filer or jointly held, use the other categories of value, as appropriate.

Reporting Individual's Name

~ Amendment

Paga Number

Joni K.Ernst
BLOCK B BLOCK C

PART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

BLOCKA

Identity of Publicly Traded Assets And Unearned Income Sources Type and Amount of Income If None, or less than $1,00,
check the first column.

Type of Income

Amount ofIncome

Actual other
~ (Specify a TYpe)

Amount Required if , Other" Specified ~ ui

~ m
v

Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child,(See p.3, CONTENTS OF REPORTS, Part B of Instructions) far production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in "unearned" income during the reporting period. include on PART IIIA a complete identification of each public bond mutual ' publicly fund traded partnership interest, ' excepted investment fund, bank account, excePted and q ualified blind trust and publicly traded asset of a retirement plan. ~ ~ ~ o m o 0 w o 0 m o '~ ~ ~ y t- ~r ~ ~ ~ ~ ~ o o ~ ~ z ~ ~ ~ ~~ c~
Example X Example X X X X X

o o 0 0 o ~ o o 0 0 0~~~ o 0 0 0 0 0~ ~i u~ 0 ~, o o~ N~ o~ rs~ ~ o c~ u~ ~ ~ ~ o ~ ~ ~ <tr ~ o I o .o 0 0 0 ~ .- o 0 0 0 0 0 g ~ ~ ~ ~ ~ o o o o ~ o ~ ~ ~ ~r; ~ ~ ~ ~ o' ~ ~ ~

-~ 3 " o o ~ o ~, v~ o ~~ o ~ ~ ~ o '~ ~ F0 ~ .~ .~ C9 ~ ~ v ~n ~ ~ ~ ;~ a a a~ _ _ ~ 'a ~ P3 v u~ w o' z o ~

N = o ~ ~ o 0 0 0 0 0 0 ~ o ~' ~ ~ g~ o cv ~n ~ ~ ~ ~ V ~ ~ ~ ~ o 0 0 o o ~? ~ z ~ ~ ~ ~

o o 0~ o 0 0 0 0 0~ o 0 0 0 0~ o 0 0 0~ o o ~ r ~ o ~ v~ c~ ~ a ~- o o 0 0 ~.- e- o 0 0 ~ `~ o `~ ~ c o ~ ~ ~ ~ ~ ~ o' ~ o'

Example Example

S~ IBM Corp. (stock) Example: DC, (5) Keystone Fund or J

~ (S) Franklin Templeton Investments X X X X X X X X X X X X X X X ~ X X X X

X X X X X X X X X X X X X X X X X
K

Franklin Rising Dividents Fund -Class A Franklin Real Estate Securities Fund Class A

Franklin Utilities Fund -- C1ass A

Franklin Income Fund -- Class A

6 (S)Invesco AIM (Roth IRA)

Invesco American Franchise Fund Class A

8 (DC)Invesco AIM (UTMA)

10

Invesco American Franchise Fund Class A 1~vesco Growths and Income Fund Class A

EXEMPTION TEST(see instructions before marking 60x): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. *"This category applies only iF the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the filer or jointly held, use the other categories of value, as appropriate.

~~

Reporting Individual's Name

~ Amendment

Page Number

Joni K. Ernst
BLOCK B Valuation of Assets at the dose of rePortiny period. if None, or less than ~~,00~,
check the first column.

PART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME S~URC~S

BLOCK A Identify of Publicly Traded Assets And Unearned Income Sources Type ofIncome Amount of Income

Acfual

~ o

o 0 o 0 0~ o o 0 0 0 0~ o 0 0 0 00 0 0 0 0 0 ~ 0~ 4 f3 o ~ ~' ~ ~ u~ ~ v> cv ~ ~r ~ ~ o ~ ~' `~' `;' ~ ~ ~ ~ o o ~ o 0 0 .~ ~ ~, o o 0 0 0 0 0~ o

Amount
o o ~ o o ~ ui ~,
LL7 O O ~ ~ d ~ ~, N ~, ~ ~ ~ ~ ~ o > > ~ o ~ ~

Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child,(See p.3, CONTENTS OF REPORTS, Parf8 of Instructions)for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in "unearned" income during the reporting period. Include on PART IIIA a complete identification of each public bond 'mutual fund, publicly traded partnership interest, excepted investment fund bank account excepted and qualified blind trust, and publicly traded asset of a retirement plan. ~ o m o 0 ~ o 0 m o ~ ~ ~ ar ' ';~ r~ o ~ o d o 0 C O ~fj o z ~ ~
X X X X Exempfe Example X

o 0 0 0 0 0 ,r, o c~ ~ yr ~ ~ ~ ~- o 0 0 0 0 O ~, O ~r ~

o ~ other ~ 0 0 0 0 ~ 0 0 m o o ~ ~ o ' _ ~ o a~~~ ~n ~n (Specify ~ o ~ ~ 0 0 0~ w ~, o~ N~ o o in ~ v N o o~ '*a ~ o in TYPe) o ~ ~~ ~ o ' ~ c F2 ~ ~ o ~ ~ o o o ~ I o ~ o g c ~ o .~ ~ -~ ~ ~ ~ ~ ~ o~ 0 o u~ c ~, ~~ a: a a~ a ,~ 0 0~ 0 o 0 c o~ ~o d . o ,,, ~~ ~ 0 0 C ~ t1 ~ N O O uj G) ~ ~ N Q ~, , ~; N > C Q >_ C ~, ~ ~ X ~ o N z ~ ~ ~ o ~ ~ ~ o z o a = v u~ w c~
X

Required if "Othe1" Specified

Example Example

S~ IBM Corp. (SfoCk) Example: DC, Fund Keystone or J (S)

1 (S) Pruden#ial (Roth IRA) X X X X X X X X X X X X X X X X X X X

X X X X X X

X X X X X X X X X X X X X
K

AST T,Rowe Price Asset Allocation

AST First Trust Balanced Target Portfolio

AST Advanced Strategies Portfolio

AST CLS Moderate Assett Allocation

AST Investment Grade Bond

7 (S)ING USA Annity &Life Ins.(Roth IRA 8 ING American Funds International Portfolio

ING Retirement Growth Portfolio (A)

10

ING Clarion Real Estate Portfolio {S)

EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. ""` This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the filer or iantly held, use the other categories of value, as appropriate.

;~

RepoAing Individual's Name

~ ~ Amendment

Page Number

Joni K.Ernst BLOCK B Valuation of Assets

PART IIIA. PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES

BLOCK A Identity aF Publicly Traded Assets And Unearned Income Sources Type of Income

Amount of Income

v c Other N
N L P L

0 c

o
O ~

Actual Amount

~
7-ype)

o ~

Required

E N
N 'D

0 o p o 0 c ' cQ ~ ~"' ~ m c

F " 'Specify ~

w ~ ~ ~ ~
a~ ' ... ~ -.fQc e ~ ~'

Report the complete.name of each publicly traded asset held by you, your spouse, or your dependent child,(See p.3, CONTENTS OF REPORTS, Part B of Instructions)for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in "unearned" income during the reporting period. Include on PART IIIA a complete identification of each public bond, mutual fund, publicly traded partnership interest, excepted investment fund, bank account, excepted and qualified blind trust, and publicly traded asset of a re#irement plan.
~ c o m o 0 L O y O N 4 0 ~ ~ ~ ~ o y O O ~ b Z r ~sr 'y3 ~ ~ O o 0 0 o v~ ~ 0 O o ~ o 0 0 0 ~ ~ 0 ~ O o 0 0 0 0~ 0 o d~ X 4 0 ~ o~ u~ u~ ~ ~ ~ p LL'1 N fH r~ N~ ~ o v> ~ ~ ~ ~ , o .o o 0 0 0 0 0 o vs o 0 0 p ~ ~ L O O O o u~ o d o o ms ~r ~ ~ O its ~ ~

z a o 'c ~ v u~ u~ c~
Example

~ o 0 0 ~ ~ ~ ~ ~ ~ ~ ~ ~ y3 ~ ~_ o 0 C ~ O L[) o z ~ ~r ~ X Example X

o 0 "' itr ~ 0

0 0~ ~ o if 0~ o~ o "Othe[" r ' `~'' ~ ~ S cified ~ ~ ~ o 0 0 ~ o ~ u~ 0 0~ o~ O In O O ~ ~ ~ > > ~ ~ ~ i~ O vs O 0 0 "' ~sr .0 Example Example

IBMCorp.(stock) -~

S~ Example: DC, orJ

fS) Keystone Fund

1 State of Iowa Retirement(457 Plan)

EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right, '"'This category applies only if the asset is/was held independently by the spouse or dependent child. 1f the asset islwas either held by the filer orjointly held, use the other categories of value, as appropriate.

K I

' ~~