0001127602-12-007478.txt : 20120222 0001127602-12-007478.hdr.sgml : 20120222 20120222182334 ACCESSION NUMBER: 0001127602-12-007478 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: Vesey Andrew CENTRAL INDEX KEY: 0001427792 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 12631588 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 0001427792 Vesey Andrew 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 COO Utilities Common Stock 2012-02-17 4 A 0 18759 A 50361 D Common Stock 2012-02-17 4 A 0 21702 A 72063 D Common Stock 2012-02-17 4 F 0 2769 13.70 D 69294 D Common Stock 18334 I By 401(k) Plan Stock Option (Right to Buy) 13.70 2012-02-17 4 A 0 74277 0 A 2022-02-17 Common Stock 74277 74277 D Units 2012-02-17 4 A 0 5032 13.70 A Common Stock 5032 17141 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 February 22, 2011 and February 17, 2012, this reporting person acquired an additional 974 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 units are 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 and units under the Restoration Plan are 100% vested upon award. /s/Andrew Vesey 2012-02-22