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AES CORP — Director's Dealing 2017
Nov 9, 2017
30641_dirs_2017-11-08_73455794-8e4d-4ee6-9e0f-bbf10e48ae1f.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: 2017-11-02
Reporting Person: Tigre Margaret (SVP Finance)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 67691 | Direct |
| Common Stock | 1064 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $18.87 | 2018-02-22 | Common Stock (1498) | Direct | |
| Stock Option (Right to Buy) | $14.63 | 2024-02-21 | Common Stock (27345) | Direct | |
| Stock Option (Right to Buy) | $11.89 | 2025-02-20 | Common Stock (34166) | Direct |
Footnotes
F1: Includes Restricted Stock Unit ("RSU") awards granted pursuant to The AES Corporation 2003 Long Term Compensation Plan, with each award vesting 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: Consists of shares of AES Common Stock acquired pursuant to The AES Corporation Retirement Savings Plan. The information in this report is based on a plan statement dated October 31, 2017.
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 2/22/2009, the second installment vested on 2/22/2010, and the final installment vested on 2/22/2011.
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 2/21/2015, the second installment vested on 2/21/2016, and the final installment vested on 2/21/2017.
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 2/20/2016, the second installment vested on 2/20/2017, and the final installment will vest on 2/20/2018.