0001127602-14-008521.txt : 20140225 0001127602-14-008521.hdr.sgml : 20140225 20140225211251 ACCESSION NUMBER: 0001127602-14-008521 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140221 FILED AS OF DATE: 20140225 DATE AS OF CHANGE: 20140225 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: HACKENSON ELIZABETH CENTRAL INDEX KEY: 0001286143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 14642670 MAIL ADDRESS: STREET 1: C/O MCI STREET 2: 22001 LOUDOUN COUNTY PARKWAY CITY: AXBURN STATE: VA ZIP: 20147 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-02-21 0000874761 AES CORP AES 0001286143 HACKENSON ELIZABETH 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 Sr. VP and CIO Common Stock 2014-02-21 4 A 0 4886 A 44095 D Common Stock 2014-02-21 4 F 0 1618 14.63 D 42477 D Common Stock 2014-02-21 4 A 0 8038 A 50515 D Common Stock 8081 I 401(k) Stock Option (Right to Buy) 14.63 2014-02-21 4 A 0 44211 0 A 2024-02-21 Common Stock 44211 44211 D Units 2014-02-21 4 A 0 680 14.63 A Common Stock 680 4152 D This Performance Stock Unit ("PSU") was granted on February 18, 2011 pursuant to The AES Corporation 2003 Long Term Compensation Plan. On February 21, 2014, after the prescribed three year vesting period, the AES Board of Directors approved the performance value of the grant. Each PSU entitles the holder to one share of AES Common Stock for each PSU granted. Reflects tax withholding in connection with the settlement of the PSUs granted on February 18, 2011. 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 21, 2015, 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. 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 21, 2014 subject to applicable IRS contribution limits. The closing stock price on February 21, 2014 was used to determine the number of shares awarded. In the aggregate between February 19, 2014 and February 24, 2014, this reporting person acquired 1,046 shares of AES Common stock under the Plan, which are included in this amount. This information is based on a plan statement dated February 24, 2014. 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 excercisable on February 21, 2015 and the next two installments will become exercisable on February 21, 2016 and February 21, 2017 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 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. /s/ Elizabeth Hackenson 2014-02-25