SEC Info - Ipalco Enterprises, Inc. - ‘S-4’ on 3/22/21

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Ipalco Enterprises, Inc. – ‘S-4’ on 3/22/21 – ‘EX-99.1’

On: Monday, 3/22/21, at 4:52pm ET · Accession #: 728391-21-40 · File #: 333-254579

Previous ‘S-4’: ‘S-4’ on 11/13/17 · Latest ‘S-4’: This Filing · 23 References:

  As Of               Filer                 Filing    For·On·As Docs:Size

 3/22/21  Ipalco Enterprises, Inc.          S-4                  101:22M

Registration Statement – Securities for a Merger — Form S-4 — SA’33
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: S-4         Registration Statement - Securities for a Merger    HTML   3.03M 
 2: EX-5.1      Opinion of Counsel re: Legality                     HTML     34K 
 3: EX-5.2      Opinion of Counsel re: Legality                     HTML     33K 
 4: EX-23.3     Consent of Expert or Counsel                        HTML     27K 
 5: EX-25       Statement of Eligibility to Act as a Trustee        HTML     48K 
 6: EX-99.1     Miscellaneous Exhibit                               HTML     35K 
 7: EX-99.2     Miscellaneous Exhibit                               HTML     30K 
 8: EX-99.3     Miscellaneous Exhibit                               HTML     32K 
 9: EX-99.4     Miscellaneous Exhibit                               HTML     32K 
16: R1          Cover Document                                      HTML     58K 
17: R2          Consolidated Statements Of Income                   HTML    100K 
18: R3          Consolidated Balance Sheets                         HTML    192K 
19: R4          Consolidated Statements Of Cash Flows               HTML    160K 
20: R5          Consolidated Statements Of Common Shareholders'     HTML     98K 
                Equity (Deficit) And Noncontrolling Interest                     
21: R6          Consolidated Statements of Comprehensive Income     HTML     55K 
                Statement                                                        
22: R7          Overview and Summary of Significant Accounting      HTML    193K 
                Policies                                                         
23: R8          Property, Plant and Equipment                       HTML     73K 
24: R9          Fair Value                                          HTML    147K 
25: R10         Regulatory Matters                                  HTML    204K 
26: R11         Derivative Instruments and Hedging Activities       HTML     77K 
27: R12         Equity                                              HTML     89K 
28: R13         Debt                                                HTML    147K 
29: R14         Income Taxes                                        HTML    163K 
30: R15         Benefit Plans                                       HTML    311K 
31: R16         Commitments and Contingencies                       HTML     45K 
32: R17         Related Party Transactions                          HTML     54K 
33: R18         Business Segment Information                        HTML     82K 
34: R19         Revenue                                             HTML     89K 
35: R20         Leases                                              HTML     45K 
36: R21         Risks and Uncertainties                             HTML     59K 
37: R22         Schedule I - Condensed Financial Information Of     HTML    133K 
                Registrant                                                       
38: R23         Schedule II - Valuation And Qualifying Accounts     HTML     94K 
                And Reserves                                                     
39: R24         Overview and Summary of Significant Accounting      HTML    209K 
                Policies (Policy)                                                
40: R25         Overview and Summary of Significant Accounting      HTML    109K 
                Policies Accounting Policies (Tables)                            
41: R26         Property, Plant and Equipment (Tables)              HTML     69K 
42: R27         Fair Value (Tables)                                 HTML    138K 
43: R28         Regulatory Matters (Tables)                         HTML    125K 
44: R29         Derivative Instruments and Hedging Activities       HTML     76K 
                (Tables)                                                         
45: R30         Equity (Tables)                                     HTML     79K 
46: R31         Debt (Tables)                                       HTML    131K 
47: R32         Income Taxes (Tables)                               HTML    161K 
48: R33         Benefit Plans (Tables)                              HTML    278K 
49: R34         Business Segment Information (Tables)               HTML     74K 
50: R35         Revenue (Tables)                                    HTML    129K 
51: R36         Leases (Tables)                                     HTML     34K 
52: R37         Overview and Summary of Significant Accounting      HTML    270K 
                Policies (Details)                                               
53: R38         Property, Plant and Equipment (Narrative)           HTML     51K 
                (Details)                                                        
54: R39         Property, Plant and Equipment (Schedule Of          HTML     41K 
                Original Cost Of Utility Plant In Service)                       
                (Details)                                                        
55: R40         Property, Plant and Equipment ARO (Reconciliation   HTML     41K 
                of Asset Retirement Obligation Liability)                        
                (Details)                                                        
56: R41         Fair Value (Narrative) (Details)                    HTML     60K 
57: R42         Fair Value (Summary Of Fair Value Assets And        HTML     46K 
                Liabilities Measured On A Recurring Basis, Level                 
                3) (Details)                                                     
58: R43         Fair Value (Reconciliation Of Financial             HTML     39K 
                Instruments Classified As Level 3) (Details)                     
59: R44         Fair Value (Schedule Of Face And Fair Value Of      HTML     44K 
                Debt) (Details)                                                  
60: R45         Regulatory Matters (Narrative) (Details)            HTML    275K 
61: R46         Regulatory Matters (Schedule Of Regulatory Assets   HTML     93K 
                And Liabilities) (Details)                                       
62: R47         Derivative Instruments and Hedging Activities       HTML    100K 
                (Details)                                                        
63: R48         Equity (Narrative) (Details)                        HTML    108K 
64: R49         Equity (Summary Of Preferred Stock) (Details)       HTML     72K 
65: R50         Debt (Narrative) (Details)                          HTML    152K 
66: R51         Debt (Schedule Long-Term Indebtedness) (Details)    HTML    110K 
67: R52         Debt (Schedule Of Maturities On Long-Term           HTML     49K 
                Indebtedness) (Details)                                          
68: R53         Income Taxes (Narrative) (Details)                  HTML     52K 
69: R54         Income Taxes (Schedule Of Federal And State Income  HTML     60K 
                Taxed Charged To Income) (Details)                               
70: R55         Income Taxes (Schedule Of Effective Income Tax      HTML     53K 
                Rate) (Details)                                                  
71: R56         Income Taxes (Schedule Of Deferred Tax Assets And   HTML     58K 
                Liabilities) (Details)                                           
72: R57         Income Taxes (Reconciliation Of Unrecognized Tax    HTML     39K 
                Benefits) (Details)                                              
73: R58         Benefit Plans (Narrative) (Details)                 HTML    186K 
74: R59         Benefit Plans (Schedule Of Defined Benefit Plans    HTML    134K 
                Disclosures) (Details)                                           
75: R60         Benefit Plans (Information For Pension Plans With   HTML     38K 
                A Benefit Obligation In Excess Of Plan Assets)                   
                (Details)                                                        
76: R61         Benefit Plans (Information For Pension Plans With   HTML     39K 
                An Accumulated Benefit Obligation In Excess Of                   
                Plan Assets) (Details)                                           
77: R62         Benefit Plans (Schedule Of Net Periodic Benefit     HTML     73K 
                Costs) (Details)                                                 
78: R63         Benefit Plans (Schedule Of Asset Allocation         HTML     37K 
                Guidelines) (Details)                                            
79: R64         Benefit Plans (Schedule Of Fair Value Of Pension    HTML     97K 
                Plan Assets) (Details)                                           
80: R65         Benefit Plans (Schedule Of Expected Benefit         HTML     44K 
                Payments) (Details)                                              
81: R66         Commitments and Contingencies (Narrative)           HTML     33K 
                (Details)                                                        
82: R67         Related Party Transactions (Details)                HTML     64K 
83: R68         Business Segment Information (Details)              HTML     31K 
84: R69         Business Segment Information (Summary Of Company's  HTML     76K 
                Reporting Segments) (Details)                                    
85: R70         Revenue (Details)                                   HTML     88K 
86: R71         Leases (Details)                                    HTML     69K 
87: R72         Risks and Uncertainties (Details)                   HTML     69K 
88: R73         Schedule I - Condensed Financial Information Of     HTML     49K 
                Registrant (Narrative) (Details)                                 
89: R74         Schedule I - Condensed Financial Information Of     HTML    128K 
                Registrant (Unconsolidated Balance Sheet)                        
                (Details)                                                        
90: R75         Schedule I - Condensed Financial Information Of     HTML     64K 
                Registrant (Unconsolidated Statements Of Income)                 
                (Details)                                                        
91: R76         Schedule I - Condensed Financial Information Of     HTML    110K 
                Registrant (Unconsolidated Statements Of Cash                    
                Flows) (Details)                                                 
92: R77         Schedule I - Condensed Financial Information Of     HTML     82K 
                Registrant (Unconsolidated Statements Of Common                  
                Shareholders' Equity (Deficit)) (Details)                        
93: R78         Schedule I - Condensed Financial Information Of     HTML     60K 
                Registrant (Long-Term Indebtedness) (Details)                    
94: R79         Schedule I - Condensed Financial Information Of     HTML     63K 
                Registrant Schedule I - Condensed Financial                      
                Information Of Registrant (Unconsolidated                        
                Statements of Comprehensive Income/(Loss))                       
                (Details)                                                        
95: R80         Schedule I - Condensed Financial Information Of     HTML     88K 
                Registrant Schedule I - Condensed Financial                      
                Information Of Registrant (Derivative Instruments                
                and Hedging Activities) (Details)                                
96: R81         Schedule I - Condensed Financial Information Of     HTML     79K 
                Registrant (Fair Value) (Details)                                
97: R82         Schedule II - Valuation And Qualifying Accounts     HTML     50K 
                And Reserves (Details)                                           
99: XML         IDEA XML File -- Filing Summary                      XML    188K 
15: XML         XBRL Instance -- ipl-20210322_htm                    XML   6.20M 
98: EXCEL       IDEA Workbook of Financial Reports                  XLSX    189K 
11: EX-101.CAL  XBRL Calculations -- ipl-20210322_cal                XML    297K 
12: EX-101.DEF  XBRL Definitions -- ipl-20210322_def                 XML   2.23M 
13: EX-101.LAB  XBRL Labels -- ipl-20210322_lab                      XML   2.74M 
14: EX-101.PRE  XBRL Presentations -- ipl-20210322_pre               XML   2.30M 
10: EX-101.SCH  XBRL Schema -- ipl-20210322                          XSD    301K 
100: JSON        XBRL Instance as JSON Data -- MetaLinks              588±   890K  
101: ZIP         XBRL Zipped Folder -- 0000728391-21-000040-xbrl      Zip    876K

‘EX-99.1’ — Miscellaneous Exhibit

This Exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

<! C: C:

Document

NOTICE OF GUARANTEED DELIVERY

For Tender Of

4.250% Senior Secured Notes due 2030

(144A CUSIP: 462613 AN0; Reg S CUSIP: U4607X AG8)

IPALCO Enterprises, Inc.

This Notice of Guaranteed Delivery or one substantially equivalent hereto must be used to accept the Exchange Offer (as defined below) if the procedures for book-entry transfer cannot be completed on a timely basis. This Notice of Guaranteed Delivery may be delivered by hand or sent by facsimile transmission, overnight courier or mail to U.S Bank National Association (the “Exchange Agent”). See “The Exchange Offer—Guaranteed Delivery Procedures” in the Prospectus dated , 2021 (which constitutes the “Exchange Offer”) of IPALCO Enterprises, Inc., an Indiana Corporation (the “Company”).

The Exchange Agent for the Exchange Offer is:

U.S. Bank National Association


By Mail, Overnight Courier or by Hand: U.S. Bank National Association Attn: Corporate Trust-Specialized Finance 111 Fillmore Avenue E St. Paul, Minnesota 55107			By Facsimile Transmission (for Eligible Institutions only): U.S. Bank National Association 651-466-7367

DELIVERY OF THIS NOTICE OF GUARANTEED DELIVERY TO AN ADDRESS OTHER THAN AS SET FORTH ABOVE OR TRANSMISSION OF THIS NOTICE OF GUARANTEED DELIVERY VIA A FACSIMILE TRANSMISSION TO A NUMBER OTHER THAN AS SET FORTH ABOVE WILL NOT CONSTITUTE A VALID DELIVERY.

THIS NOTICE OF GUARANTEED DELIVERY IS NOT TO BE USED TO GUARANTEE SIGNATURES.

THE FOLLOWING GUARANTEE MUST BE COMPLETED

GUARANTEE OF DELIVERY

(Not to be used for Signature Guarantee)

The undersigned, a firm which is a member of a registered national securities exchange or a member of the Financial Industry Regulatory Authority, Inc. or a commercial bank or trust company having an office or correspondent in the United States, hereby guarantees to deliver to the Exchange Agent, at one of its addresses set forth above, the book-entry transfer of all tendered Old Notes to the Exchange Agent’s account at The Depository Trust Company (“DTC”), pursuant to the procedures for book-entry transfer set forth in the Prospectus, within three New York Stock Exchange trading days after the date of execution of this Notice of Guaranteed Delivery.

The undersigned acknowledges that it must deliver the Old Notes tendered hereby to the Exchange Agent within the time period set forth above and that failure to do so could result in a financial loss to the undersigned.

Name of Firm:

(Authorized Signature)

Address:

Title:

Name:

(Zip Code)

(Please type or print)

Area Code and Telephone Number:

Date:

23 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/25/21  Ipalco Enterprises, Inc.          10-K       12/31/20   99:21M
 4/14/20  Ipalco Enterprises, Inc.          8-K:1,2,9   4/14/20    4:560K                                   Davis Polk & … LLP 01/FA
 2/28/20  AES Corp.                         10-K       12/31/19  201:46M
 8/06/19  AES Corp.                         S-8         8/06/19    5:220K
 6/21/19  Ipalco Enterprises, Inc.          8-K:1,2,9   6/21/19    2:659K
 2/27/19  Ipalco Enterprises, Inc.          10-K       12/31/18   89:19M
11/06/18  AES Corp.                         10-Q        9/30/18  105:19M
 8/22/17  Ipalco Enterprises, Inc.          8-K:2,9     8/22/17    4:702K
 8/08/17  AES Corp.                         10-Q        6/30/17  100:17M
 2/27/17  Ipalco Enterprises, Inc.          10-K       12/31/16   85:17M
 8/05/16  Ipalco Enterprises, Inc.          10-Q        6/30/16   53:4.3M
 2/24/16  AES Corp.                         10-K       12/31/15  215:40M
 9/28/15  Ipalco Enterprises, Inc.          S-4®        9/30/15   99:23M
 8/10/15  AES Corp.                         10-Q        6/30/15  103:18M
 6/25/15  Ipalco Enterprises, Inc.          8-K:1,2,9   6/25/15    4:566K                                   Davis Polk & … LLP 01/FA
 5/11/15  Ipalco Enterprises, Inc.          10-Q        3/31/15   47:4.5M
 4/29/15  Ipalco Enterprises, Inc.          10-K/A     12/31/14    4:1.6M
 4/23/15  AES Corp.                         8-K:5,9     4/23/15    3:228K
 2/18/15  Ipalco Enterprises, Inc.          8-K:1,5,9   2/11/15    3:325K                                   Skadden/FA
 8/07/14  Ipalco Enterprises, Inc.          10-Q        6/30/14   45:4M
 8/08/13  Ipalco Enterprises, Inc.          10-Q        6/30/13   69:4.5M
 2/27/12  Ipalco Enterprises, Inc.          10-K       12/31/11   42:8.2M
10/11/11  Ipalco Enterprises, Inc.          S-4        10/07/11   28:11M                                    Davis Polk & … LLP 01/FA

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