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 |
IRP Unit
|
Â
(3)
|
Â
(3)
|
Common Stock
|
78,352
|
$
(3)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
02/19/2020 |
Common Stock
|
12,864
|
$
12.18
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
02/18/2021 |
Common Stock
|
16,800
|
$
12.88
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
02/17/2022 |
Common Stock
|
19,134
|
$
13.7
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
02/15/2023 |
Common Stock
|
33,317
|
$
11.17
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(8)
|
02/21/2024 |
Common Stock
|
26,917
|
$
14.63
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(9)
|
02/20/2025 |
Common Stock
|
46,092
|
$
11.89
|
D
|
Â
|
Units
|
Â
(10)
|
Â
(10)
|
Common Stock
|
24,373
|
$
(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) |
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. |
(2) |
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. |
(3) |
These units were awarded pursuant to the International Retirement Plan (the "IRP"). Generally, units under the IRP are paid out in cash following termination of employment or later per the IRP document. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock, and units under the IRP are 100% vested upon award. |
(4) |
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 2/19/2011, the second installment vested on 2/19/2012 and the final installment vested on 2/19/2013. |
(5) |
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 2/18/2012, the second installment vested on 2/18/2013 and the final installment vested on 2/18/2014. |
(6) |
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 2/17/2013, the second installment vested on 2/17/2014 and the final installment vested on 2/17/2015. |
(7) |
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. |
(8) |
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. |
(9) |
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. |
(10) |
These units were awarded pursuant to the Restoration Supplemental Retirement Plan (the "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. |