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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Units | (2) (3) | 07/03/2007 | I | 595 | (2)(3) | (2)(3) | Common Stock | 595 | $ 22.5 | 3,155 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
miller brian a 4300 WILSON BOULEVARD ARLINGTON, VA 22203 |
EVP, General Counsel and Secy |
Brian A. Miller | 07/06/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Since Mr. Miller's last filing on February 27, 2007, he acquired 459 shares of AES Common stock at an average price of $22.02 pursuant to The AES Retirement Savings Plan. This report is based upon a plan statement dated 07/05/2007. |
(2) | This is a Special Purpose Account distribution under the 2004 Restoration Supplemental Retirement Plan (the "RSRP"). The RSRP is designed primarily to provide participants with supplemental retirement benefits to make up for the fact that participant and company contributions to the AES Corporation 401(k) plan are limited by US federal tax law. A participant may defer up to 50% of his salary and up to 80% of his bonus compensation under the RSRP. Participants may designate up to three separate deferral accounts, each of which may have a different distribution date and a different distribution option. Distributions can be in a lump sum or annually over a period of two to fifteen years. Distributions from Special Purpose Accounts are paid annually beginning on or about February 1 of the year following the year designated by the participant as his distribution date, subject to blackout restrictions. |
(3) | Under the terms of the RSRP, distributions are automatically paid out in cash, not in stock, and Mr. Miller did not have the ability to make (and did not make) an election to convert any shares into cash at or around the time of this distribution. |