0001127602-15-008134.txt : 20150224 0001127602-15-008134.hdr.sgml : 20150224 20150224203808 ACCESSION NUMBER: 0001127602-15-008134 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: miller brian a CENTRAL INDEX KEY: 0001348872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 15645656 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 0001348872 miller brian a 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 EVP, General Counsel and Secy Common Stock 2015-02-20 4 A 0 19781 A 150046 D Common Stock 2015-02-20 4 F 0 6548 11.89 D 143498 D Common Stock 2015-02-20 4 A 0 20067 A 163565 D Common Stock 2015-02-21 4 F 0 1799 11.89 D 161766 D Common Stock 2015-02-23 4 F 0 2586 11.86 D 159180 D Common Stock 2015-02-24 4 F 0 1743 11.64 D 157437 D Common Stock 36298 I By 401(k) Plan Stock Option (Right to Buy) 11.89 2015-02-20 4 A 0 149125 0 A 2025-02-20 Common Stock 149125 149125 D Units 2015-02-20 4 A 0 5033 11.89 A Common Stock 5033 44251 D This Performance Stock Unit ("PSU") was granted on February 17, 2012 pursuant to The AES Corporation 2003 Long Term Compensation Plan. After the prescribed three year vesting period, the AES Board of Directors approved the performance value for the grant. Each earned PSU entitles the holder to one share of AES Common Stock. Reflects tax withholding in connection with the vesting and settlement of earned PSUs granted in February 2012. 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 February 20, 2014 and February 20, 2015, this reporting person acquired 2,267 shares of AES Common Stock under the Plan, which is 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. /s/Brian A. Miller 2015-02-24