Form 4 Miller Brian A

4 - Statement of changes in beneficial ownership of securities

Published: 2007-07-06 21:02:49
Submitted: 2007-07-06
Period Ending In: 2007-07-03
edgar.html FORM 4 -


>

SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
miller brian a

(Last) (First) (Middle)
4300 WILSON BOULEVARD

(Street)
ARLINGTON VA 22203

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AES CORP [ AES ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, General Counsel and Secy
3. Date of Earliest Transaction (Month/Day/Year)
07/03/2007
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/05/2007 A 459(1) A $22.02 15,931 I by 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
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
Explanation of Responses:
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.
Brian A. Miller 07/06/2007
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
1
edgar.xml FORM 4 -
Schema Version:
X0202
Document Type:
4
Period Of Report:
2007-07-03
Not Subject To Section16:
0

Issuer

Issuer Cik
0000874761
Issuer Name
AES CORP
Issuer Trading Symbol
AES

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001348872
Rpt Owner Name
miller brian a

Reporting Owner Address

Rpt Owner Street1
4300 WILSON BOULEVARD
Rpt Owner City
ARLINGTON
Rpt Owner State
VA
Rpt Owner Zip Code
22203

Reporting Owner Relationship

Is Director
0
Is Officer
1
Is Ten Percent Owner
0
Is Other
0
Officer Title
EVP, General Counsel and Secy

Non Derivative Transaction

Security Title
Common Stock
Transaction Date
2007-07-05

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares

Value
459
@attributes Id
F1
Transaction Price Per Share
22.02
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
15931

Ownership Nature

Direct Or Indirect Ownership
I
Nature Of Ownership
by 401(k) Plan

Derivative Transaction

Security Title
Units

Footnote Id

@attributes Id
F2
@attributes Id
F3
Transaction Date
2007-07-03

Transaction Coding

Transaction Form Type
4
Transaction Code
I
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
595
Transaction Price Per Share
22.50
Transaction Acquired Disposed Code
D

Footnote Id

@attributes Id
F2
@attributes Id
F3

Footnote Id

@attributes Id
F2
@attributes Id
F3

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
595
Shares Owned Following Transaction
3155
Direct Or Indirect Ownership
D

Footnote

0
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.
1
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.
2
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.

Owner Signature

Signature Name
Brian A. Miller
Signature Date
2007-07-06
Additional Files
FileSequenceDescriptionTypeSize
0001179110-07-014593.txt   Complete submission text file   8638
$AES

© 2019 SEC.report
SEC CFR Title 17 of the Code of Federal Regulations.