1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy)
|
Â
(2)
|
02/25/2015 |
Common Stock
|
2,722
|
$
17.22
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
02/24/2016 |
Common Stock
|
6,361
|
$
17.58
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
02/23/2017 |
Common Stock
|
7,375
|
$
22.28
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
02/22/2018 |
Common Stock
|
8,170
|
$
18.87
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
02/15/2023 |
Common Stock
|
21,211
|
$
11.17
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
02/21/2024 |
Common Stock
|
30,730
|
$
14.63
|
D
|
Â
|
Units
|
Â
(8)
|
Â
(8)
|
Common Stock
|
9,113
|
$
(8)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Includes 10,693 Restricted Stock Units ("RSUs") granted under The AES Corporation 2003 Long Term Compensation Plan which will vest 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. |
(2) |
This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/25/2006, the second installment vested on 2/25/2007 and the final installment vested on 2/25/2008. |
(3) |
This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/24/2007, the second installment vested on 2/24/2008 and the final installment vested on 2/24/2009. |
(4) |
This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/23/2008, the second installment vested on 2/23/2009 and the final installment vested on 2/23/2010. |
(5) |
This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/22/2009, the second installment vested on 2/22/2010 and the final installment vested on 2/22/2011. |
(6) |
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, he first installment vests on 2/15/2014, the second installment will vest on 2/15/2015, and the final installment will vest on 2/15/2016. |
(7) |
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, he first installment will vest on 2/21/2015, the second installment will vest on 2/21/2016 and the final installment will vest on 2/21/2017. |
(8) |
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. |