401k Plan data: THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. plan

THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 401k Plan overview

Plan Name	THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C.
Plan identification number	001

THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021). Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

AES NY, L.L.C. has sponsored the creation of one or more 401k plans.

Company Name: AES NY, L.L.C.

Employer identification number (EIN): 541911039

NAIC Classification: 221100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C.

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 WILLIAM RADY
001 2009-01-01 JOE PROVINO PETER NORGEOT 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2011-01-01	WILLIAM RADY
001	2009-01-01	JOE PROVINO		PETER NORGEOT	2010-10-15

Plan Statistics for THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C.

401k plan membership statisitcs for THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C.

Measure Date Value
2011: THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2011 401k membership
Total participants, beginning-of-year 2011-01-01 349
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 135
Number of retired or separated participants receiving benefits 2011-01-01 111
Number of other retired or separated participants entitled to future benefits 2011-01-01 97
Total of all active and inactive participants 2011-01-01 343
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 3
Total participants 2011-01-01 346
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2009 401k membership
Total participants, beginning-of-year 2009-01-01 349
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 213
Number of retired or separated participants receiving benefits 2009-01-01 86
Number of other retired or separated participants entitled to future benefits 2009-01-01 47
Total of all active and inactive participants 2009-01-01 346
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 3
Total participants 2009-01-01 349
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2011 401k membership
Total participants, beginning-of-year	2011-01-01	349
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	135
Number of retired or separated participants receiving benefits	2011-01-01	111
Number of other retired or separated participants entitled to future benefits	2011-01-01	97
Total of all active and inactive participants	2011-01-01	343
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	3
Total participants	2011-01-01	346
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2009 401k membership
Total participants, beginning-of-year	2009-01-01	349
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	213
Number of retired or separated participants receiving benefits	2009-01-01	86
Number of other retired or separated participants entitled to future benefits	2009-01-01	47
Total of all active and inactive participants	2009-01-01	346
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	3
Total participants	2009-01-01	349
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C.

Measure	Date	Value
2011 : THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$208,101
Total unrealized appreciation/depreciation of assets	2011-12-31	$208,101
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$967,080
Total loss/gain on sale of assets	2011-12-31	$70,041
Total of all expenses incurred	2011-12-31	$1,444,129
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,216,240
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$0
Value of total assets at end of year	2011-12-31	$25,383,256
Value of total assets at beginning of year	2011-12-31	$25,860,305
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$227,889
Total interest from all sources	2011-12-31	$384,009
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$302,390
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$21,236
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$144,172
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$139,612
Other income not declared elsewhere	2011-12-31	$2,539
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-477,049
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$25,383,256
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$25,860,305
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$206,653
Income. Interest from US Government securities	2011-12-31	$197,807
Income. Interest from corporate debt instruments	2011-12-31	$185,981
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$288,022
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$215,079
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$215,079
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$221
Asset value of US Government securities at end of year	2011-12-31	$6,257,370
Asset value of US Government securities at beginning of year	2011-12-31	$5,994,202
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Income. Dividends from common stock	2011-12-31	$302,390
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,216,240
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$3,752,998
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$4,226,162
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$14,940,694
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$15,285,250
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$14,179,722
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$14,109,681
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	FREED MAXICK CPA'S, PC
Accountancy firm EIN	2011-12-31	454051133
2010 : THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$1,224,279
Total unrealized appreciation/depreciation of assets	2010-12-31	$1,224,279
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$94,225
Total income from all sources (including contributions)	2010-12-31	$2,068,949
Total loss/gain on sale of assets	2010-12-31	$144,011
Total of all expenses incurred	2010-12-31	$1,402,903
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,176,325
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$0
Value of total assets at end of year	2010-12-31	$25,860,305
Value of total assets at beginning of year	2010-12-31	$25,288,484
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$226,578
Total interest from all sources	2010-12-31	$423,489
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$274,458
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$139,612
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$141,609
Other income not declared elsewhere	2010-12-31	$2,712
Administrative expenses (other) incurred	2010-12-31	$7,763
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$666,046
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$25,860,305
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$25,194,259
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$218,815
Income. Interest from US Government securities	2010-12-31	$196,869
Income. Interest from corporate debt instruments	2010-12-31	$226,282
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$215,079
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$768,747
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$768,747
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$338
Asset value of US Government securities at end of year	2010-12-31	$5,994,202
Asset value of US Government securities at beginning of year	2010-12-31	$4,758,919
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Income. Dividends from common stock	2010-12-31	$274,458
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,176,325
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$4,226,162
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$5,126,723
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$15,285,250
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$14,492,486
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$94,225
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$17,240,713
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$17,096,702
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	FREED MAXICK & BATTAGLIA, CPA'S, PC
Accountancy firm EIN	2010-12-31	161608956
2009 : THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C.

2011: THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: THE RETIREMENT BENEFIT PLAN FOR EMPLOYEES OF AES NY, L.L.C. 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	AES NY, L.L.C.
Employer identification number (EIN):	541911039
NAIC Classification:	221100