-----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, DPWbiopVeLDdRlEFAXWdRaD+OelRxTrX64keLvHzs5frvRz9BRyeb+kn+4ygYCbz 9ouICY8EnsED4jWjb0jMTQ== 0001127602-10-006019.txt : 20100223 0001127602-10-006019.hdr.sgml : 20100223 20100223200645 ACCESSION NUMBER: 0001127602-10-006019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100219 FILED AS OF DATE: 20100223 DATE AS OF CHANGE: 20100223 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: 10628014 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 2010-02-19 0000874761 AES CORP AES 0001350579 Harker Victoria D 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Executive VP & CFO Common Stock 2010-02-19 4 A 0 3414 12.18 A 9671 I By 401(k) Plan Stock Option (Right to Buy) 12.18 2010-02-19 4 A 0 64474 0 A 2020-02-19 Common Stock 64474 64474 D Units 2010-02-19 4 A 0 6999 12.18 A Common Stock 6999 23251 D Restricted Stock Units 2010-02-19 4 D 0 12623 D Common Stock 12623 94724 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 19, 2010 subject to applicable IRS contribution limits. The closing stock price on February 19, 2010 was used to determine the number of shares awarded. Between February 24, 2009 and February 18, 2010, the reporting person acquired 1805 shares of AES Common stock under the Plan. 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 continuing employment conditions are satisfied. If such conditions are satisfied, the first installment becomes exercisable on February 19, 2011, and the next two installments become exercisable on February 19, 2012 and February 19, 2013, respectively. These units are awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under this plan shall be paid out following termination of employment or later as per the terms of the plan document. Each unit represents a hypothetical AES investment equal to one share of AES Common stock and units under the Restoration Plan are 100% vested upon award. The Company did not meet the threshold performance conditions for this 2007 RSU award resulting in the forfeiture of the award. In column 9, the Company has voluntarily included amounts for grants awarded in 2008 and 2009 where performance criteria have not yet been met. The Company intends to discontinue voluntary disclosure of awards where performance criteria have not been met. The amount also includes 22,442 RSUs that were granted in 2007 which include only time-based investing. /s/Victoria D. Harker 2010-02-23 -----END PRIVACY-ENHANCED MESSAGE-----