UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | Â (1) | Â (1) | Common Stock | 19,314 | $ (1) | D | Â |
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 10,470 | $ (2) | D | Â |
Units | Â (3) | Â (3) | Common Stock | 2,821 | $ (3) | D | Â |
Stock Option Grant | Â (4) | 12/27/2006 | Common Stock | 19,332 | $ 11.0313 | D | Â |
Stock Option Grant | Â (4) | 12/03/2007 | Common Stock | 9,916 | $ 19.5 | D | Â |
Stock Option Grant | Â (4) | 06/01/2008 | Common Stock | 8,000 | $ 23.125 | D | Â |
Stock Option Grant | Â (4) | 02/02/2009 | Common Stock | 22,222 | $ 17.125 | D | Â |
Stock Option Grant | Â (4) | 02/04/2010 | Common Stock | 18,948 | $ 36.315 | D | Â |
Stock Option Grant | Â (4) | 01/31/2011 | Common Stock | 25,429 | $ 55.61 | D | Â |
Stock Option Grant | Â (4) | 10/25/2011 | Common Stock | 184,379 | $ 13.19 | D | Â |
Stock Option Grant | Â (4) | 02/12/2013 | Common Stock | 73,467 | $ 2.83 | D | Â |
Stock Option Grant | Â (4) | 05/01/2013 | Common Stock | 10,018 | $ 2.83 | D | Â |
Stock Option Grant | Â (5) | 02/04/2014 | Common Stock | 23,613 | $ 8.97 | D | Â |
Stock Option Grant | Â (6) | 02/25/2015 | Common Stock | 13,937 | $ 16.81 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Qasim Shahzad 4300 WILSON BOULEVARD ARLINGTON, VA 22203 |
 |  |  President, EAME Region |  |
Shahzad Qasim | 01/27/2006 | |
**Signature of Reporting Person | Date |
* | 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) | This restricted stock unit ("RSU") award 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. |
(2) | This 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. |
(3) | These units are awarded pursuant to the Restoration Supplemental Retirement Plan and The AES Corporation Supplemental Retirement Plan. Generally, units under these plans shall be paid out following termination of employment or later as per the terms of the relevant plan documents. Each unit is equal to one share of AES Common stock and units under the plans are 100% vested upon award. |
(4) | Immediately exercisable. |
(5) | These stock options vest in three equal annual amounts. The first installment became exercisable on February 4, 2005, and the next two installments become exercisable on February 4, 2006 and February 4, 2007, respectively. |
(6) | These stock options vest in three equal annual amounts. The first installment becomes exercisable on February 25, 2006, and the next two installments become exercisable on February 25, 2007 and February 25, 2008, respectively. |