-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, V+G9e6KINm0mJW4cXNWu5yn7mG2vQco2wrSgQPgGKI+b7ecbX2rpLCqMmwiV84Uq gnbcC1Ft9Tbg2Staiq6DVQ== 0001179110-07-006802.txt : 20070328 0001179110-07-006802.hdr.sgml : 20070328 20070328161403 ACCESSION NUMBER: 0001179110-07-006802 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070319 FILED AS OF DATE: 20070328 DATE AS OF CHANGE: 20070328 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: Woodruff Mark CENTRAL INDEX KEY: 0001394436 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 07724449 BUSINESS ADDRESS: BUSINESS PHONE: 703-522-1315 MAIL ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 3 1 edgar.xml FORM 3 - X0202 3 2007-03-19 0 0000874761 AES CORP AES 0001394436 Woodruff Mark 4300 WILSON BOULEVARD ARLINGTON VA 22203 0 1 0 0 EVP and Reg Pres Asia & ME Common Stock 36254 I by 401(k) Plan Restricted Stock Units Common Stock 12723 D Restricted Stock Units Common Stock 6172 D Restricted Stock Units Common Stock 6492 D Restricted Stock Units Common Stock 6171 D Stock Option Grant (Right to buy) 19.50 2007-12-03 Common Stock 9666 D Stock Option Grant (Right to buy) 17.13 2009-02-02 Common Stock 7112 D Stock Option Grant (Right to buy) 36.31 2010-02-04 Common Stock 5474 D Stock Option Grant (Right to buy) 55.61 2011-01-31 Common Stock 11714 D Stock Option Grant (Right to buy) 13.19 2011-10-25 Common Stock 60545 D Stock Option Grant (Right to buy) 2.83 2013-02-12 Common Stock 54901 D Stock Option Grant (Right to buy) 2.83 2013-05-01 Common Stock 7487 D Stock Option Grant (Right to buy) 8.97 2014-02-04 Common Stock 15555 D Stock Option Grant (Right to buy) 16.81 2015-02-25 Common Stock 9037 D Stock Option Grant (Right to buy) 17.58 2016-02-24 Common Stock 13200 D Stock Option Grant (Right to buy) 22.28 2017-02-23 Common Stock 13520 D Units Common Stock 1843 D This restricted stock unit ("RSU")award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 4, 2005 if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or cash equivalent at the discretion of The AES Corporation on or within 60 days from February 4, 2009. This restricted stock unit ("RSU")award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 25, 2006 if certain continuing employement and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or cash equivalent at the discretion of The AES Corporation on or within 60 days from February 25, 2010. This restricted stock unit ("RSU")award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 24, 2007 if certain continuing employement and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or cash equivalent at the discretion of The AES Corporation on or within 60 days from February 24, 2011. This restricted stock unit ("RSU")award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 23, 2008 if certain continuing employement and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or cash equivalent at the discretion of The AES Corporation on or within 60 days from February 23, 2012. Immediately exercisable. These stock options vest in three equal annual installments such that one third vested on February 25, 2006, one third vested on February 25, 2007 and the final third will vest on February 25, 2008. These stock options vest in three equal annual installments such that one third vested on February 24, 2007, one third will vest on February 24, 2008, and the final third will vest on February 24, 2009. These stock options vest in three equal annual installments such that one third will vest on February 23, 2008, one third will vest on February 23, 2009 and the final third will vest on February 23, 2010. These units were awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). The total number of units reflects the total of this award under the Restoration Plan and the existing balances in both the Restoration Plan and The AES Corporation Supplemental Retirement Plan (the "Plan"). The Plan was frozen in 2004 and no subsequent contributions have been made to it. Each unit is initially equal to one share of AES Common stock and units under the plans are 100% vested upon award. Mark Woodruff 2007-03-28 -----END PRIVACY-ENHANCED MESSAGE-----