0001127602-21-007438.txt : 20210223 0001127602-21-007438.hdr.sgml : 20210223 20210223201019 ACCESSION NUMBER: 0001127602-21-007438 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210219 FILED AS OF DATE: 20210223 DATE AS OF CHANGE: 20210223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pimenta Gustavo CENTRAL INDEX KEY: 0001764320 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 21667999 MAIL ADDRESS: STREET 1: 4300 WILSON BLVD. STREET 2: 11TH FLOOR 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2021-02-19 0000874761 AES CORP AES 0001764320 Pimenta Gustavo 4300 WILSON BLVD. ARLINGTON VA 22203 1 EVP and CFO Common Stock 2021-02-19 4 A 0 9060 A 65228 D Common Stock 2021-02-19 4 A 0 25893 A 91121 D Common Stock 2021-02-19 4 F 0 11085 28.31 D 80036 D Common Stock 2021-02-19 4 F 0 1783 28.31 D 78253 D This Restricted Stock Unit ("RSU") award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will generally vest in three annual installments, subject to the terms and conditions of the award. One-third of the RSUs will vest based on the reporting person's continued employment with AES or a subsidiary on each of February 19, 2022 and February 19, 2023. The final third of the RSUs will vest on February 19, 2024 subject to the reporting person's continued employment with AES or a subsidiary on such date and based, in part, on AES' achievement of certain environmental and social goals. Each RSU entitles the holder to one share of AES Common Stock. This Performance Stock Unit ("PSU") award was granted on February 23, 2018 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 on February 19, 2021. Each earned PSU entitles the holder to one share of AES Common Stock. Reflects tax withholding in connection with the settlement of PSUs granted in February 2018. Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 21, 2020. /s/ Gustavo Pimenta 2021-02-23