FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/22/2008 |
3. Issuer Name and Ticker or Trading Symbol
AES CORP [ AES ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 9,490 | I | Joint Ownership |
Common Stock | 880 | I | by Sons |
Common Stock | 51,349 | I | by 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: 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) | (1) | 02/02/2009 | Common Stock | 9,778 | $17.13 | D | |
Stock Option Grant (Right to buy) | (1) | 02/04/2010 | Common Stock | 5,052 | $36.31 | D | |
Stock Option Grant (Right to buy) | (1) | 01/31/2011 | Common Stock | 3,714 | $55.61 | D | |
Stock Option Grant (Right to buy) | (1) | 03/15/2011 | Common Stock | 4,644 | $49.64 | D | |
Stock Option Grant (Right to buy) | (1) | 10/25/2011 | Common Stock | 80,727 | $13.19 | D | |
Stock Option Grant (Right to buy) | (1) | 02/12/2013 | Common Stock | 52,012 | $2.83 | D | |
Stock Option Grant (Right to buy) | (1) | 05/01/2013 | Common Stock | 7,093 | $2.83 | D | |
Stock Optio Grant (Right to buy) | (1) | 02/04/2014 | Common Stock | 9,370 | $8.97 | D | |
Stock Option Grant (Right to buy) | (1) | 02/25/2015 | Common Stock | 7,622 | $16.81 | D | |
Stock Option Grant (Right to buy) | (2) | 02/24/2016 | Common Stock | 13,518 | $17.58 | D | |
Stock Option Grant (Right to buy) | (3) | 02/23/2017 | Common Stock | 14,749 | $22.28 | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 6,968 | (4) | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 5,726 | (5) | D | |
Restricted Stock Units | (6) | (6) | Common Stock | 6,648 | (6) | D | |
Restricted Stock Units | (7) | (7) | Common Stock | 6,733 | (7) | D | |
Units | (8) | (8) | Common Stock | 1,956 | (8) | D |
Explanation of Responses: |
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 became 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. 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 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. |
5. 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. |
6. 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 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. |
7. 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 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. |
8. These units are awarded pursuant to the Restoration Supplemental Retirement Plan and The AES 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. |
Edward C. Hall, III | 02/26/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |