0001127602-12-007472.txt : 20120222 0001127602-12-007472.hdr.sgml : 20120222 20120222181722 ACCESSION NUMBER: 0001127602-12-007472 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120217 FILED AS OF DATE: 20120222 DATE AS OF CHANGE: 20120222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: miller brian a CENTRAL INDEX KEY: 0001348872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 12631567 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 X0304 4 2012-02-17 0000874761 AES CORP AES 0001348872 miller brian a 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 EVP, General Counsel and Secy Common Stock 2012-02-17 4 A 0 16234 A 80817 D Common Stock 2012-02-17 4 A 0 21702 A 102519 D Common Stock 2012-02-17 4 F 0 1961 13.70 D 100558 D Common Stock 29015 I By 401(k) Plan Stock Option (Right to Buy) 13.70 2012-02-17 4 A 0 64277 0 A 2022-02-17 Common Stock 64277 64277 D Units 2012-02-17 4 A 0 5358 13.70 A Common Stock 5358 29088 D This restricted stock unit award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments beginning on February 17, 2013, if certain continuing employment conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock for each RSU granted. Represents vesting of 2009 Performance Stock Units granted under the Issuer's 2003 Long Term Compensation Plan. Reflects tax withholding in connection with settlement of one-third previously reported 2011 RSU award. This includes an 8% (of base salary) discretionary retirement savings award granted pursuant to The AES Retirement Savings Plan (the "Plan") as determined by The AES Corporation Board of Directors on February 17, 2012 subject to applicable IRS contribution limits. The closing stock price on February 17, 2012 was used to determine the number of shares awarded. Between January 4, 2012 and February 17, 2012, this reporting person acquired an additional 168 shares of AES Common stock under the Plan, which are included in this amount. 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 17, 2013, and the next two installments become exercisable on February 17, 2014 and February 17, 2015, respectively. These are units awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under this plan shall be paid out in cash 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. /s/Brian A. Miller 2012-02-22