FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/07/2011 |
3. Issuer Name and Ticker or Trading Symbol
AES CORP [ AES ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 14,151(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: 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 | ||||
Employee Stock Option (Right to Buy) | (2) | 09/08/2013 | Common Stock | 1,847 | $7.19 | D | |
Employee Stock Option (Right to Buy) | (2) | 02/04/2014 | Common Stock | 4,873 | $8.97 | D | |
Employee Stock Option (Right to Buy) | (2) | 02/25/2015 | Common Stock | 4,355 | $16.81 | D | |
Employee Stock Option (Right to Buy) | (2) | 02/24/2016 | Common Stock | 6,361 | $17.58 | D | |
Employee Stock Option (Right to Buy) | (2) | 02/23/2017 | Common Stock | 5,285 | $22.28 | D | |
Employee Stock Option (Right to Buy) | (2) | 02/22/2018 | Common Stock | 8,170 | $18.87 | D | |
Employee Stock Option (Right to Buy) | (3) | 02/20/2019 | Common Stock | 24,917 | $6.71 | D | |
Employee Stock Option (Right to Buy) | (4) | 02/19/2020 | Common Stock | 13,979 | $12.18 | D | |
Employee Stock Option (Right to Buy) | (5) | 02/18/2021 | Common Stock | 26,087 | $12.88 | D |
Explanation of Responses: |
1. This amount represents three separate restricted stock unit awards ("RSUs") which were granted pursuant to the AES Corporation 2003 Long Term Compensation Plan. Vesting for all three awards 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 23, 2007 (2,412 shares), February 22, 2008 (3,975 shares), and February 18, 2011 (7,764 shares). |
2. Fully exercisable. |
3. These stock options vest in three equal annual installments. The first installment became exercisable on February 20, 2010; the next installment became exercisable on February 20, 2011, and the final installment will become exercisable on February 20, 2012. |
4. These stock options vest in three equal annual installments. The first installment became exercisable on February 19, 2011, and the next two installments will become exercisable on February 19, 2012 and February 19, 2013, respectively. |
5. These stock options vest in three equal annual installments. The first installment will become exercisable on February 18, 2012, and the next two installments will become exercisable on February 18, 2013 and February 18, 2014, respectively. |
Rita Trehan | 10/17/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |