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AES CORP — Director's Dealing 2011
Oct 17, 2011
30641_dirs_2011-10-17_e4f93124-35dc-4da6-8855-9cc630662b8b.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: AES CORP (AES)
CIK: 0000874761
Period of Report: 2011-10-07
Reporting Person: Trehan Rita (Vice President Human Resources)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14151 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $7.19 | 2013-09-08 | Common Stock (1847) | Direct | |
| Employee Stock Option (Right to Buy) | $8.97 | 2014-02-04 | Common Stock (4873) | Direct | |
| Employee Stock Option (Right to Buy) | $16.81 | 2015-02-25 | Common Stock (4355) | Direct | |
| Employee Stock Option (Right to Buy) | $17.58 | 2016-02-24 | Common Stock (6361) | Direct | |
| Employee Stock Option (Right to Buy) | $22.28 | 2017-02-23 | Common Stock (5285) | Direct | |
| Employee Stock Option (Right to Buy) | $18.87 | 2018-02-22 | Common Stock (8170) | Direct | |
| Employee Stock Option (Right to Buy) | $6.71 | 2019-02-20 | Common Stock (24917) | Direct | |
| Employee Stock Option (Right to Buy) | $12.18 | 2020-02-19 | Common Stock (13979) | Direct | |
| Employee Stock Option (Right to Buy) | $12.88 | 2021-02-18 | Common Stock (26087) | Direct |
Footnotes
F1: 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).
F2: Fully exercisable.
F3: 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.
F4: 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.
F5: 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.