0001127602-18-028596.txt : 20180928 0001127602-18-028596.hdr.sgml : 20180928 20180928201500 ACCESSION NUMBER: 0001127602-18-028596 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180918 FILED AS OF DATE: 20180928 DATE AS OF CHANGE: 20180928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dubuc Manuel Perez CENTRAL INDEX KEY: 0001754412 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 181095608 MAIL ADDRESS: STREET 1: 4300 WILSON BLVD. CITY: ARLINGTON STATE: VA ZIP: 22203 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 2018-09-18 0 0000874761 AES CORP AES 0001754412 Dubuc Manuel Perez 4300 WILSON BLVD. ARLINGTON VA 22203 1 SVP, New Energy Solutions Common Stock 27374 D Common Stock 5952 I by 401(k) Stock Option (Right to Buy) 11.17 2023-02-15 Common Stock 34837 D Stock Option (Right to Buy) 14.63 2024-02-21 Common Stock 26805 D Stock Option (Right to Buy) 11.89 2025-02-20 Common Stock 46791 D Units Common Stock 1616 D Includes Restricted Stock Unit ("RSU") awards granted pursuant to The AES Corporation 2003 Long Term Compensation Plan, with such awards vesting 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. Consists of shares of AES Common Stock acquired pursuant to The AES Corporation Retirement Savings Plan. The information in this report is based on a plan statement dated September 25, 2018. This stock option was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/15/2014, the second installment vested on 2/15/2015 and the final installment vested on 2/15/2016. This stock option was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/21/2015, the second installment vested on 2/21/2016 and the final installment vested on 2/21/2017. This stock option was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/20/2016, the second installment vested on 2/20/2017 and the final installment vested on 2/20/2018. These units were awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under the Restoration Plan are paid out in cash following termination of employment or later 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/ Manuel Perez Dubuc 2018-09-28