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 Grant (Right to buy)
|
Â
(1)
|
02/02/2009 |
Common Stock
|
9,778
|
$
17.13
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(1)
|
02/04/2010 |
Common Stock
|
5,052
|
$
36.31
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(1)
|
01/31/2011 |
Common Stock
|
3,714
|
$
55.61
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(1)
|
03/15/2011 |
Common Stock
|
4,644
|
$
49.64
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(1)
|
10/25/2011 |
Common Stock
|
80,727
|
$
13.19
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(1)
|
02/12/2013 |
Common Stock
|
52,012
|
$
2.83
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(1)
|
05/01/2013 |
Common Stock
|
7,093
|
$
2.83
|
D
|
Â
|
Stock Optio Grant (Right to buy)
|
Â
(1)
|
02/04/2014 |
Common Stock
|
9,370
|
$
8.97
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(1)
|
02/25/2015 |
Common Stock
|
7,622
|
$
16.81
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(2)
|
02/24/2016 |
Common Stock
|
13,518
|
$
17.58
|
D
|
Â
|
Stock Option Grant (Right to buy)
|
Â
(3)
|
02/23/2017 |
Common Stock
|
14,749
|
$
22.28
|
D
|
Â
|
Restricted Stock Units
|
Â
(4)
|
Â
(4)
|
Common Stock
|
6,968
|
$
(4)
|
D
|
Â
|
Restricted Stock Units
|
Â
(5)
|
Â
(5)
|
Common Stock
|
5,726
|
$
(5)
|
D
|
Â
|
Restricted Stock Units
|
Â
(6)
|
Â
(6)
|
Common Stock
|
6,648
|
$
(6)
|
D
|
Â
|
Restricted Stock Units
|
Â
(7)
|
Â
(7)
|
Common Stock
|
6,733
|
$
(7)
|
D
|
Â
|
Units
|
Â
(8)
|
Â
(8)
|
Common Stock
|
1,956
|
$
(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) |
Immediately exercisable. |
(2) |
These stock options vest in three equal annual installments. The first installment became exercisable on February 24, 2007, the second installment became exercisable on February 24, 2008 and the third installment will became exercisable on February 24, 2009. |
(3) |
These stock options vest in three equal annual installments. The first installment became exercisable on February 23, 2008, and the next two installments will become exercisable on February 23, 2009 and February 23, 2010, respectively. |
(4) |
This Restricted Stock Unit Award ("RSU") 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 the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 4, 2009. |
(5) |
This Restricted Stock Unit Award ("RSU") 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 employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 25, 2010. |
(6) |
This Restricted Stock Unit Award ("RSU") 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 employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 24, 2011. |
(7) |
This Restricted Stock Unit Award ("RSU") 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 employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 23, 2012. |
(8) |
These units are awarded pursuant to the Restoration Supplemental Retirement Plan and The AES Supplemental Retirement Plan. Generally, units under these Plans shall be paid out following termination of employment or later as per the terms of the relevant plan documents. Each unit is equal to one share of AES Common stock and units under the plans are 100% vested upon award. |