0001127602-12-021821.txt : 20120705 0001127602-12-021821.hdr.sgml : 20120704 20120705172954 ACCESSION NUMBER: 0001127602-12-021821 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120629 FILED AS OF DATE: 20120705 DATE AS OF CHANGE: 20120705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HACKENSON ELIZABETH CENTRAL INDEX KEY: 0001286143 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 12948974 MAIL ADDRESS: STREET 1: C/O MCI STREET 2: 22001 LOUDOUN COUNTY PARKWAY CITY: AXBURN STATE: VA ZIP: 20147 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 3 1 form3.xml PRIMARY DOCUMENT X0206 3 2012-06-29 0 0000874761 AES CORP AES 0001286143 HACKENSON ELIZABETH 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Sr. VP and CIO Common Stock 26828 D Common Stock 5565 I 401(k) Stock Option (Right to Buy) 6.71 2019-02-20 Common Stock 43605 D Stock Option (Right to Buy) 12.18 2020-02-19 Common Stock 23257 D Stock Option (Right to Buy) 12.88 2021-02-18 Common Stock 28108 D Stock Option (Right to Buy) 13.70 2022-02-17 Common Stock 32013 D Units Common Stock 2626 D This amount represents two separate restricted stock unit awards ("RSUs") which were granted pursuant to The AES Corporation 2003 Long Term Compensation Plan. Vesting for these RSUs occurs in three equal annual installments 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. Included are awards granted on February 18, 2011 (5,577 shares) and February 17, 2012 (8,085 shares). Also included are vested units (11,393) and shares held outright (1,773). As of July 3, 2012. These stock options are fully exercisable. These stock options vest in three equal annual installments. The first installment became exercisable on February 19, 2011, the next installment became exercisable on February 19, 2012, and the final installment will become exercisable on February 19, 2013. These stock options vest in three equal annual installments. The first installment became exercisable on February 18, 2012, and the next two installments will become exercisable on February 18, 2013 and February 18, 2014, respectively. These stock options vest in three equal annual installments. The installments will become exercisable on February 17, 2013, February 17, 2014 and February 17, 2015, respectively. These units are awarded pursuant to the Restoration Retirement Plan (the "Plan"). Generally, units under the Plan are paid out following termination of employment or later as per the terms of the Plan document. Each unit is equal to the value of one share of AES Common Stock, and units under the Plan are 100% vested upon award. Elizabeth Hackenson 2012-07-05