AES CORP — Director's Dealing 2018

Sep 29, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: AES CORP (AES)
CIK: 0000874761
Period of Report: 2018-09-18

Reporting Person: Dubuc Manuel Perez (SVP, New Energy Solutions)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	27374	Direct
Common Stock	5952	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$11.17	2023-02-15	Common Stock (34837)		Direct
Stock Option (Right to Buy)	$14.63	2024-02-21	Common Stock (26805)		Direct
Stock Option (Right to Buy)	$11.89	2025-02-20	Common Stock (46791)		Direct
Units	$		Common Stock (1616)		Direct

Footnotes

F1: Includes Restricted Stock Unit ("RSU") awards granted pursuant to The AES Corporation 2003 Long Term Compensation Plan, with such awards 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 September 25, 2018.

F3: This stock option was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/15/2014, the second installment vested on 2/15/2015 and the final installment vested on 2/15/2016.

F4: This stock option 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 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 vested on 2/20/2018.

F6: These units were awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under the Restoration Plan are paid out in cash following termination of employment or later per 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.