0001127602-12-033853.txt : 20121213 0001127602-12-033853.hdr.sgml : 20121213 20121213180755 ACCESSION NUMBER: 0001127602-12-033853 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121211 FILED AS OF DATE: 20121213 DATE AS OF CHANGE: 20121213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LADER PHILIP CENTRAL INDEX KEY: 0001237640 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 121263128 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 X0306 4 2012-12-11 0000874761 AES CORP AES 0001237640 LADER PHILIP 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Common Stock 2012-12-11 4 M 0 17725 10.72 A 23590 D Common Stock 2012-12-11 4 M 0 6329 10.72 A 29919 D Common Stock 2012-12-13 4 J 0 35125 0 A 35125 I by Lader Family Partners, LLLP Common Stock 2012-12-11 4 J 0 535 0 A 26586 I By Philip Lader, Trustee, The Linda LeSourd Lader Irrevocable Defective Grantor Trust Dated 03/11/09 Common Stock 89380 I By Family Foundation Stock Option (Right to Buy) 6.70 2012-12-11 4 M 0 17725 0 D 2013-05-13 Common Stock 17725 0 D Stock Option (Right to Buy) 8.58 2012-12-11 4 M 0 6329 0 D 2014-04-28 Common Stock 6329 0 D None of the transactions listed on this Form 4 are market transactions. Mr. Lader exercised 24,054 options and contributed the shares to the Lader Family Partners, LLLP, along with 5,865 shares he previously held directly, 25 shares held by his daughter and 5181 shares held in his IRA. Mr. Lader is General Partner and General Manager of the Lader Family Partners, LLLP. The shares owned by Lader Family Partners, LLLP are being indirectly gifted to family members of Mr. Lader. Mr. Lader is not required to report the gifts on Form 4 but will report the gifts on Form 5 within 45 days after the close of AES' fiscal year. This ten year option grant was awarded on 5/13/2003 and became exerciable in installments of 50% at the end of each of the first two years. This ten year option grant was awarded on 4/28/2004 and became exercisable in installments of 50% at the end of each of the first two years. Philip Lader 2012-12-13