|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option Grant (Right to buy) | $ 2.83 | 02/05/2007 | M | 10,392 | (3) | (3) | Common Stock | 10,392 | $ 0 | 0 | D | ||||
Stock Option Grant (Right to buy) | $ 8.97 | 02/06/2007 | M | 6,497 | (4) | (4) | Common Stock | 6,497 | $ 0 | 0 | D | ||||
Stock Option Grant (Right to buy) | $ 13.19 | 02/06/2007 | M | 13,461 | (5) | (5) | Common Stock | 13,461 | $ 0 | 0 | D | ||||
Stock Option Grant (Right to buy) | $ 8.97 | 02/06/2007 | M | 545 | (4) | (4) | Common Stock | 545 (8) | $ 0 | 0 | I | by Spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jaisinghani Haresh R 4300 WILSON BOULEVARD ARLINGTON, VA 22203 |
President, Asia Region |
Haresh R. Jaisinghani | 02/07/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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 sale was executed pursuant to a written plan intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934. Mr. Jaisinghani's sales plan was adopted on November 28, 2006. |
(2) | This sale was executed pursuant to a written plan intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934. Ms. Zhao's (Mr. Jaisinghani's wife)sales plan was adopted on December 6, 2006. |
(3) | This ten year stock option was awarded on 02/12/2003 and vested in two equal annual installments such that one half vested on 02/12/2004 and the remaining half vested on 02/12/2005. |
(4) | This ten year stock option was awarded on 02/04/2004 and vested in three equal annual installments such that one third vested on 02/04/2005, one third vested on 02/04/2006, and the final third vested on 02/04/2007. |
(5) | This ten year stock option was awarded on 10/25/2001 and vested in one year, such that the entire grant vested on 10/25/2002. |
(6) | Based upon a plan statement dated 02/05/2007, Mr. Jaisinghani does not report any change in ownership for shares he holds in The AES Retirement Savings Plan. |
(7) | Since Mr. Jaisinghani's last filing on 12/27/2006, Mr. Jaisinghani's spouse acquired 26 shares of AES Common stock at an average price of $21.09 pursuant to The AES Retirement Savings Plan. This report is based upon a plan statement dated 02/05/2007. |
(8) | The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or any other purpose. |