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 of Derivative Security: 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 |
Stock Option Grant (Right to Buy)
|
Â
(1)
|
02/02/2009 |
Common Stock
|
17,778
|
$
17.13
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(1)
|
02/04/2010 |
Common Stock
|
12,632
|
$
36.32
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(1)
|
01/31/2011 |
Common Stock
|
10,571
|
$
55.61
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(1)
|
10/25/2011 |
Common Stock
|
104,622
|
$
13.19
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(1)
|
02/04/2014 |
Common Stock
|
8,246
|
$
8.97
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(1)
|
02/25/2015 |
Common Stock
|
4,355
|
$
16.81
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(2)
|
02/24/2016 |
Common Stock
|
6,838
|
$
17.58
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(3)
|
02/23/2017 |
Common Stock
|
3,058
|
$
22.28
|
D
|
Â
|
Stock Option Grant (Right to Buy)
|
Â
(4)
|
02/22/2018 |
Common Stock
|
4,388
|
$
18.87
|
D
|
Â
|
Restricted Stock Units
|
Â
(5)
|
Â
(5)
|
Common Stock
|
6,132
|
$
(5)
|
D
|
Â
|
Restricted Stock Units
|
Â
(6)
|
Â
(6)
|
Common Stock
|
3,271
|
$
(6)
|
D
|
Â
|
Rstricted Stock Unit
|
Â
(7)
|
Â
(7)
|
Common Stock
|
3,057
|
$
(7)
|
D
|
Â
|
Restricted Stock Units
|
Â
(8)
|
Â
(8)
|
Common Stock
|
1,396
|
$
(8)
|
D
|
Â
|
Restricted Stock Units
|
Â
(9)
|
Â
(9)
|
Common Stock
|
2,135
|
$
(9)
|
D
|
Â
|
Units
|
Â
(10)
|
Â
(10)
|
Common Stock
|
2,759
|
$
(10)
|
D
|
Â
|
* |
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). |
(1) |
Immediately exercisable. |
(2) |
These stock options vest in three equal annual installments. The first installment became exercisable on February 24, 2007, the second installment became exercisable on February 24, 2008 and the third installment will become exercisable on February 24, 2009. |
(3) |
These stock options vest in three equal annual installments. The first installment became exercisable on February 23, 2008, and the next two installments will become exercisable on February 23, 2009 and February 23, 2010, respectively. |
(4) |
These stock options vest in three equal annual installments. The first installment will become exercisable on February 22, 2009, and the next two installments will become exercisable on February 22, 2010 and February 22, 2011, respectively. |
(5) |
These Restricted Stock Unit Award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 4, 2005 if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 4, 2009. |
(6) |
These Restricted Stock Unit Award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 25, 2006 if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 25, 2010. |
(7) |
These Restricted Stock Unit Award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 24, 2007 if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 24, 2011. |
(8) |
These Restricted Stock Unit Award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 23, 2008 if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 23, 2012. |
(9) |
These Restricted Stock Unit Award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vests in three equal annual installments beginning on February 22, 2009 if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common stock or the cash equivalent at the discretion of The AES Corporation on or within 60 days from February 22, 2013. |
(10) |
These are units awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). The total number of units reflects the total of this award under the Restoration Plan and the existing balances in both the Restoration Plan and The AES Corporation Supplemental Retirement Plan (the "Plan"). The Plan was frozen in 2004 and no subsequent contributions have been made to it. Each unit is initially equal to one share of AES Common stock and units under the Plan are 100% vested upon award. |
(11) |
Mr. Naill retains beneficial ownership of the shares in the Roger F. Naill Revocable Trust. |