0001127602-15-001509.txt : 20150109 0001127602-15-001509.hdr.sgml : 20150109 20150109163836 ACCESSION NUMBER: 0001127602-15-001509 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150101 FILED AS OF DATE: 20150109 DATE AS OF CHANGE: 20150109 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Da Santos Bernerd CENTRAL INDEX KEY: 0001626763 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 15519385 MAIL ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 3 1 form3.xml PRIMARY DOCUMENT X0206 3 2015-01-01 0 0000874761 AES CORP AES 0001626763 Da Santos Bernerd 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Sr. VP and COO Common Stock 16323 D Common Stock 19187 I by 401(k) Stock Option (Right to Buy) 17.22 2015-02-25 Common Stock 2722 D Stock Option (Right to Buy) 17.58 2016-02-24 Common Stock 6361 D Stock Option (Right to Buy) 22.28 2017-02-23 Common Stock 7375 D Stock Option (Right to Buy) 18.87 2018-02-22 Common Stock 8170 D Stock Option (Right to Buy) 11.17 2023-02-15 Common Stock 21211 D Stock Option (Right to Buy) 14.63 2024-02-21 Common Stock 30730 D Units Common Stock 9113 D Includes 10,693 Restricted Stock Units ("RSUs") granted under The AES Corporation 2003 Long Term Compensation Plan which will vest in three equal annual installments from the date of grant 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. This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/25/2006, the second installment vested on 2/25/2007 and the final installment vested on 2/25/2008. This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/24/2007, the second installment vested on 2/24/2008 and the final installment vested on 2/24/2009. This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/23/2008, the second installment vested on 2/23/2009 and the final installment vested on 2/23/2010. This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/22/2009, the second installment vested on 2/22/2010 and the final installment vested on 2/22/2011. 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, he first installment vests on 2/15/2014, the second installment will vest on 2/15/2015, and the final installment will vest on 2/15/2016. 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, he first installment will vest on 2/21/2015, the second installment will vest on 2/21/2016 and the final installment will vest on 2/21/2017. These units were awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under this plan are paid out in cash following termination of employment or later as per the terms of the Restoration 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. Bernerd R. DaSantos 2015-01-09