-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OBLPhYx2kAsgTUodY4p01tNFZgEDxJwhPjPEYE+QkNLfKwTAb4sYpfcyBLtPqAhJ zPkyJkJxJa9GRHNaJJmgyQ== 0000912057-02-006289.txt : 20020414 0000912057-02-006289.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-006289 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: VICTORIA P. SANT FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SANT MR & MRS ROGER W CENTRAL INDEX KEY: 0000903456 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1710 HOBAN RAOD NW CITY: WASHINGTON STATE: DC ZIP: 20007 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AES CORPORATION CENTRAL INDEX KEY: 0000874761 STANDARD INDUSTRIAL CLASSIFICATION: COGENERATION SERVICES & SMALL POWER PRODUCERS [4991] IRS NUMBER: 541163725 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41672 FILM NUMBER: 02549117 BUSINESS ADDRESS: STREET 1: 1001 N 19TH ST STREET 2: STE 2000 CITY: ARLINGTON STATE: VA ZIP: 22209 BUSINESS PHONE: 7035221315 SC 13G/A 1 a2071043zsc13ga.txt SCHEDULE 13G/A CUSIP NO. 001300H105 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. X)* The AES Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $0.01 - -------------------------------------------------------------------------------- (Title of Class of Securities) 001300H105 ---------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.)(See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP NO. 001300H105 13G - ------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON: SS. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Roger W. Sant - ------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION: United States of America - ------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER: 15,250,329 6. SHARED VOTING POWER: 26,507,167 7. SOLE DISPOSITIVE POWER: 15,250,329 8. SHARED DISPOSITIVE POWER: 26,507,167 - ------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 28,631,603 - ------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9.) EXCLUDES CERTAIN SHARES: /X/ - ------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9.): 5.37% - ------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------- CUSIP NO. 001300H105 13G - ------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON: SS. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Victoria P. Sant - ------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION: United States of America - ------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5. SOLE VOTING POWER: 13,641,489 6. SHARED VOTING POWER: 26,507,167 7. SOLE DISPOSITIVE POWER: 13,641,489 8. SHARED DISPOSITIVE POWER: 26,507,167 - ------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 26,766,651 - ------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9.) EXCLUDES CERTAIN SHARES: /X/ - ------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9.): 5.02% - ------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON: IN - ------------------------------------------------------------------------------- CUSIP NO. 001300H105 13G Item 1. (a) The Name of the Issuer: The AES Corporation a Delaware corporation (the "Company") (b) The Address of the Company's Principal Executive Offices: 1001 N. 19th Street Arlington, VA 22209 Item 2. (a) Name of Persons Filing: This statement is filed by Roger W. Sant and Victoria P. Sant, United States Citizens. (b) Address of Principal Business Office or, if none, Residence: Mr. Sant has a business address at 1001 N. 19th Street, Arlington, VA 22209. Mrs. Sant's address is Persimmon Tree Farm Landmark Road, Middleburg, VA 20118. The title of the class of equity securities to which this Statement relates is Common Stock, par value $0.01 per share (the "Shares") of the Company. The CUSIP Number of the Company is 001300H105. Item 3. This item is not applicable. Item 4. Ownership: Mr. Sant holds dispositive power with respect to 35,000 shares held in N Street Trust, 399,740 shares in an Individual Retirement Account, 585,850 shares held by The AES Corporation Profit Sharing and STock Ownership Plan, 13,125,162 shares held in Trust, 59,286 units under the Deferred Compensation Plan for Executive Officers, 731 units under the Deferred Compensation Plan for Directors, and 8,684 units under the CUSIP NO. 001300H105 13G Supplemental Retirement Plan. Mr. Sant currently has the right to acquire direct benefit ownership (within the meaning of rule 13d-3(d)(1) of 1,035,876 shares of common stock upon the exercise of stock options. Mrs. Sant holds dispositive power for 13,382,005 shares held in Trust, and 259,484 shares held in an Individual Retirement Account. Item 5. Ownership of Five Percent or Less of a Class: This item is not applicable. Item 6. Ownership of More Than Five Percent on Behalf of Another Person: Mr. and Mrs. Sant are aware of Mr. and Mrs. Dennis W. Bakke, holders of more than 5% of AES Common Stock. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: This item is not applicable. Item 8. Identification and Classification of Member of the Group: This item is not applicable. Item 9. Notice of Dissolution of Group: This item is not applicable. Item 10. Certification This item is not applicable. CUSIP NO. 001300H105 13G SIGNATURE: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true and complete and correct. February 14, 2002 ---------------------------------------- Date /s/ ROGER W. SANT ---------------------------------------- Signature Roger W. Sant, Chairman ---------------------------------------- Name/Title CUSIP NO. 001300H105 13G SIGNATURE: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true and complete and correct. February 14, 2002 ---------------------------------------- Date /s/ VICTORIA P. SANT ---------------------------------------- Signature Victoria P. Sant ---------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----