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 |
Restricted Stock Units
|
Â
(1)
|
Â
(1)
|
Common Stock
|
12,723
|
$
(1)
|
D
|
Â
|
Restricted Stock Units
|
Â
(2)
|
Â
(2)
|
Common Stock
|
6,172
|
$
(2)
|
D
|
Â
|
Restricted Stock Units
|
Â
(3)
|
Â
(3)
|
Common Stock
|
6,492
|
$
(3)
|
D
|
Â
|
Restricted Stock Units
|
Â
(4)
|
Â
(4)
|
Common Stock
|
6,171
|
$
(4)
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
12/03/2007 |
Common Stock
|
9,666
|
$
19.5
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
02/02/2009 |
Common Stock
|
7,112
|
$
17.13
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
02/04/2010 |
Common Stock
|
5,474
|
$
36.31
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
01/31/2011 |
Common Stock
|
11,714
|
$
55.61
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
10/25/2011 |
Common Stock
|
60,545
|
$
13.19
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
02/12/2013 |
Common Stock
|
54,901
|
$
2.83
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
05/01/2013 |
Common Stock
|
7,487
|
$
2.83
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(5)
|
02/04/2014 |
Common Stock
|
15,555
|
$
8.97
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(6)
|
02/25/2015 |
Common Stock
|
9,037
|
$
16.81
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(7)
|
02/24/2016 |
Common Stock
|
13,200
|
$
17.58
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(8)
|
02/23/2017 |
Common Stock
|
13,520
|
$
22.28
|
D
|
Â
|
Units
|
Â
(9)
|
Â
(9)
|
Common Stock
|
1,843
|
$
(9)
|
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) |
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. |
(2) |
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. |
(3) |
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. |
(4) |
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. |
(5) |
Immediately exercisable. |
(6) |
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. |
(7) |
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. |
(8) |
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. |
(9) |
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. |