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
(3)
|
02/20/2019 |
Common Stock
|
43,605
|
$
6.71
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
02/19/2020 |
Common Stock
|
23,257
|
$
12.18
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
02/18/2021 |
Common Stock
|
28,108
|
$
12.88
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
02/17/2022 |
Common Stock
|
32,013
|
$
13.7
|
D
|
Â
|
Units
|
Â
(7)
|
Â
(7)
|
Common Stock
|
2,626
|
$
(7)
|
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 amount represents two separate restricted stock unit awards ("RSUs") which were granted pursuant to The AES Corporation 2003 Long Term Compensation Plan. Vesting for these RSUs occurs in three equal annual installments 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. Included are awards granted on February 18, 2011 (5,577 shares) and February 17, 2012 (8,085 shares). Also included are vested units (11,393) and shares held outright (1,773). |
(2) |
As of July 3, 2012. |
(3) |
These stock options are fully exercisable. |
(4) |
These stock options vest in three equal annual installments. The first installment became exercisable on February 19, 2011, the next installment became exercisable on February 19, 2012, and the final installment will become exercisable on February 19, 2013. |
(5) |
These stock options vest in three equal annual installments. The first installment became exercisable on February 18, 2012, and the next two installments will become exercisable on February 18, 2013 and February 18, 2014, respectively. |
(6) |
These stock options vest in three equal annual installments. The installments will become exercisable on February 17, 2013, February 17, 2014 and February 17, 2015, respectively. |
(7) |
These units are awarded pursuant to the Restoration Retirement Plan (the "Plan"). Generally, units under the Plan are paid out following termination of employment or later as per the terms of the Plan document. Each unit is equal to the value of one share of AES Common Stock, and units under the Plan are 100% vested upon award. |