FORM 10-Q/A
Amendment No. 1
Commission file number 1-8644
IPALCO ENTERPRISES, INC.
(Exact name of registrant as specified in its charter)
| Indiana | 35-1575582 |
| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
| One Monument Circle, Indianapolis, Indiana | 46204 |
| (Address of principal executive offices) | (Zip Code) |
| Registrant’s telephone number, including area code: 317-261-8261 | |
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes þ No o
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes þ No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):
| Large accelerated filer o | Accelerated filer o |
| Non-accelerated filer (Do not check if a smaller reporting company) þ | Smaller reporting company o |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No þ
At November 3, 2011, 89,685,177 shares of IPALCO Enterprises, Inc. common stock were outstanding. All of such shares were owned by The AES Corporation.
THE REGISTRANT MEETS THE CONDITIONS SET FORTH IN GENERAL INSTRUCTIONS H(1)(a) AND (b) OF FORM 10-Q AND IS THEREFORE FILING THIS FORM WITH THE REDUCED DISCLOSURE FORMAT
The purpose of this Amendment No. 1 to IPALCO Enterprises, Inc’s Quarterly Report on Form 10-Q (the “Form 10-Q” for the period ended September 30, 2011, as filed with the Securities and Exchange Commission on November 3, 2011 is to furnish Exhibit 101.1 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101.1 provides the financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language).
No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way the disclosures made in the original Form 10-Q.
| Exhibit No. | Document |
4.1* | Fifty-Eighth Supplemental Indenture dated as of August 1, 2011. |
4.2* | Fifty-Ninth Supplemental Indenture dated as of August 1, 2011. |
31.1 | Certification by Chief Executive Officer required by Rule 13a-14(a) or 15d-14(a). |
31.2 | Certification by Principal Financial Officer required by Rule 13a-14(a) or 15d-14(a). |
| 32 | Certification required by Rule 13a-14(b) or 15d-14(b). |
| 101.INS | XBRL Instance Document (furnished herewith as provided in Rule 406T of Regulation S-T). |
| 101.SCH | XBRL Taxonomy Extension Schema Document (furnished herewith as provided in Rule 406T of Regulation S-T). |
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document (furnished herewith as provided in Rule 406T of Regulation S-T). |
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document (furnished herewith as provided in Rule 406T of Regulation S-T). |
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document (furnished herewith as provided in Rule 406T of Regulation S-T). |
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document (furnished herewith as provided in Rule 406T of Regulation S-T). |
| * Incorporated by reference to IPALCO’s Registration Statement on Form S-4 filed with the Securities and Exchange Commission on October 11, 2011. | |
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| IPALCO ENTERPRISES, INC. | ||||
| (Registrant) | ||||
| Date: | November 3, 2011 | /s/ Kurt A. Tornquist | ||
| Kurt A. Tornquist | ||||
| Vice President and Controller | ||||
| (Principal Accounting Officer and Duly Authorized Officer) |
