-----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, IIDMr57zTmBZ2YFPv7yBFMcujglVnGyl6GcgjQ96btiTmUU/E1rIjYMCLBSodI+D IzgAWi+6teh3YEZ+6iUhCQ== 0001127602-09-004705.txt : 20090224 0001127602-09-004705.hdr.sgml : 20090224 20090224170622 ACCESSION NUMBER: 0001127602-09-004705 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090220 FILED AS OF DATE: 20090224 DATE AS OF CHANGE: 20090224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harker Victoria D CENTRAL INDEX KEY: 0001350579 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 09631411 BUSINESS ADDRESS: BUSINESS PHONE: 703-522-1315 MAIL ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AES CORP CENTRAL INDEX KEY: 0000874761 STANDARD INDUSTRIAL CLASSIFICATION: COGENERATION SERVICES & SMALL POWER PRODUCERS [4991] IRS NUMBER: 541163725 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 BUSINESS PHONE: 7035221315 MAIL ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 FORMER COMPANY: FORMER CONFORMED NAME: AES CORPORATION DATE OF NAME CHANGE: 19930328 4 1 form4.xml PRIMARY DOCUMENT X0303 4 2009-02-20 0000874761 AES CORP AES 0001350579 Harker Victoria D 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Executive VP & CFO Common Stock 2009-02-20 4 A 0 2742 6.71 A 6257 I By 401(k) Plan Restricted Stock Units 2009-02-20 4 A 0 55887 6.71 A Common Stock 55887 124905 D Restricted Stock Units 2009-02-20 4 D 0 17558 D Common Stock 17558 107347 D Units 2009-02-20 4 A 0 10902 6.71 A Common Stock 10902 16252 D Stock Option (Right to Buy) 6.71 2009-02-20 4 A 0 124585 A 2010-02-20 2019-02-20 Common Stock 124585 124585 D This 8% (of base salary) discretionary retirement savings award was granted pursuant to The AES Retirement Savings Plan (the "Plan") as determined by The AES Corporation Board of Directors on February 20, 2009 subject to applicable IRS contribution limits. The closing stock price on February 20, 2009 was used to determine the number of shares awarded. Between January 5 and February 20, 2009, the reporting person acquired 928 shares of AES Common Stock under the Plan. This restricted stock unit award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal installments beginning on February 20, 2010, if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to between 0 and 1.5 shares, based on performance, of AES Common Stock or the cash equivalent, such delivery form decision is at the discretion of The AES Corporation Compensation Committee of the Board of Directors on January 1, 2014 or as soon as administratively practicable thereafter. The Company did not meet the threshold performance conditions for this 2006 RSU award resulting in the forfeiture of the award. These are units awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Each unit is initially equal to one share of AES Common stock and units under the Restoration Plan are 100% vested upon award. This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments if certain employment conditions are satisfied. If such conditions are satisfied, the first installment becomes exercisable on February 20, 2010 and the next two installments become exercisable on February 20, 2011 and February 20, 2012, respectively. /s/Victoria D. Harker 2009-02-24 -----END PRIVACY-ENHANCED MESSAGE-----