0001127602-15-008123.txt : 20150224 0001127602-15-008123.hdr.sgml : 20150224 20150224202836 ACCESSION NUMBER: 0001127602-15-008123 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150220 FILED AS OF DATE: 20150224 DATE AS OF CHANGE: 20150224 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 15645638 MAIL ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2015-02-20 0000874761 AES CORP AES 0001626763 Da Santos Bernerd 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Sr. VP and COO Common Stock 2015-02-20 4 A 0 8915 A 25238 D Common Stock 2015-02-21 4 F 0 684 11.89 D 24554 D Common Stock 2015-02-23 4 F 0 498 11.86 D 24056 D Common Stock 2015-02-24 4 F 0 966 11.64 D 23090 D Common Stock 20123 I by 401(k) Stock Option (Right to Buy) 11.89 2015-02-20 4 A 0 66250 0 A 2025-02-20 Common Stock 66250 66250 D Units 2015-02-20 4 A 0 2151 11.89 A Common Stock 2151 11264 D This Restricted Stock Unit ("RSU") award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments beginning on February 20, 2016, if certain continuing employment conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock. Reflects tax withholding in connection with the vesting and settlement of one third of the RSUs granted in February 2014. Reflects tax withholding in connection with the vesting and settlement of one third of the RSUs granted in February 2013. Reflects tax withholding in connection with the vesting and settlement of one third of the RSUs granted in February 2012. This includes a 3% (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 20, 2015 subject to IRS contribution limits. The closing stock price on February 20, 2015 was used to determine the number of shares awarded. In the aggregate between January 9, 2015 and February 20, 2015, this reporting person acquired 936 shares of AES Common Stock under the Plan, which are included in this amount. This information is based on a plan statement dated February 20, 2015. 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 20, 2016, and the next two installments become exercisable on February 20, 2017 and February 20, 2018, respectively. 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 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 2015-02-24