0001127602-13-007147.txt : 20130220 0001127602-13-007147.hdr.sgml : 20130220 20130220175219 ACCESSION NUMBER: 0001127602-13-007147 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130215 FILED AS OF DATE: 20130220 DATE AS OF CHANGE: 20130220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HACKENSON ELIZABETH CENTRAL INDEX KEY: 0001286143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 13628073 MAIL ADDRESS: STREET 1: C/O MCI STREET 2: 22001 LOUDOUN COUNTY PARKWAY CITY: AXBURN STATE: VA ZIP: 20147 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 2013-02-15 0000874761 AES CORP AES 0001286143 HACKENSON ELIZABETH 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Sr. VP and CIO Common Stock 2013-02-15 4 A 0 11316 A 48144 D Common Stock 2013-02-15 4 F 0 2106 11.17 D 46038 D Common Stock 6950 I 401(k) Stock Option (Right to Buy) 11.17 2013-02-15 4 A 0 61759 0 A 2023-02-15 Common Stock 61759 61759 D Units 2013-02-15 4 A 0 846 11.17 A Common Stock 846 3472 D This restricted stock unit award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments beginning on February 15, 2014, 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. Reflects tax withholding in connection with settlement of one third (each) previously reported 2011 and 2012 RSU awards. This includes a 6% (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 15, 2013 subject to applicable IRS contribution limits. The closing stock price on February 15, 2013 was used to determine the number of shares awarded. Between November 23, 2012 and February 15, 2013, this reporting person acquired an additional 42 shares of AES Common stock under the Plan, which are included in this amount. 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 15, 2014, and the next two installments become exercisable on February 15, 2015 and February 15, 2016, respectively. These units were awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under this plan shall be paid out in cash following termination of employment or later as per the terms of 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. Elizabeth Hackenson 2013-02-20