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AES CORP — Director's Dealing 2015
Jan 9, 2015
30641_dirs_2015-01-09_026db02a-78b2-48b2-9270-303c91e91e7d.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: 2015-01-01
Reporting Person: Da Santos Bernerd (Sr. VP and COO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16323 | Direct |
| Common Stock | 19187 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $17.22 | 2015-02-25 | Common Stock (2722) | Direct | |
| Stock Option (Right to Buy) | $17.58 | 2016-02-24 | Common Stock (6361) | Direct | |
| Stock Option (Right to Buy) | $22.28 | 2017-02-23 | Common Stock (7375) | Direct | |
| Stock Option (Right to Buy) | $18.87 | 2018-02-22 | Common Stock (8170) | Direct | |
| Stock Option (Right to Buy) | $11.17 | 2023-02-15 | Common Stock (21211) | Direct | |
| Stock Option (Right to Buy) | $14.63 | 2024-02-21 | Common Stock (30730) | Direct | |
| Units | $ | Common Stock (9113) | Direct |
Footnotes
F1: Includes 10,693 Restricted Stock Units ("RSUs") granted under The AES Corporation 2003 Long Term Compensation Plan which will vest in three equal annual installments from the date of grant 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.
F2: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/25/2006, the second installment vested on 2/25/2007 and the final installment vested on 2/25/2008.
F3: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/24/2007, the second installment vested on 2/24/2008 and the final installment vested on 2/24/2009.
F4: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/23/2008, the second installment vested on 2/23/2009 and the final installment vested on 2/23/2010.
F5: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/22/2009, the second installment vested on 2/22/2010 and the final installment vested on 2/22/2011.
F6: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments if certain continuing employment conditions are satisfied. If such conditions are satisfied, he first installment vests on 2/15/2014, the second installment will vest on 2/15/2015, and the final installment will vest on 2/15/2016.
F7: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments if certain continuing employment conditions are satisfied. If such conditions are satisfied, he first installment will vest on 2/21/2015, the second installment will vest on 2/21/2016 and the final installment will vest on 2/21/2017.
F8: These units were awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under this plan are paid out in cash following termination of employment or later as per the terms of the Restoration Plan document. Each unit represents a hypothetical AES investment equal to one share of AES Common stock and units under the Restoration Plan are 100% vested upon award.