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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Units | (1) | 04/24/2008 | A | 12,358 | (1) | (1) | Common Stock | 12,358 | $ 17.71 | 61,287 | I | Amended and Restated Deferred Compensation Plan for Directors | |||
Stock Option Grant (Right to buy) | $ 3.62 | (2) | 03/31/2013 | Common Stock | 4,187 | 4,187 | D | ||||||||
Stock Option Grant (Right to Buy) | $ 6.7 | (2) | 05/13/2013 | Common Stock | 17,725 | 21,912 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROSSOTTI CHARLES O 4300 WILSON BOULEVARD ARLINGTON, VA 22203 |
X |
Charles O. Rossotti | 04/28/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Pursuant to the Amended and Restated Deferred Compensation Plan for Directors of The AES Corporation (the "Company"), Non Employee Directors may elect to defer receipt of annual cash compensation otherwise payable to such Director in the form of stock units on the day that the Non Employee Director is elected to the Board of Directors for the plan year for which a stock unit election is made or on a date determined by the Board of Directors. A Non Employee Director is not eligible to receive a distribution from his/her deferred account until such Director ceases to be a Board member. This distribution will be made as soon as practicable after the date the Director terminates service on the Board, and will be made in accordance with the Director's Distribution Election Notification. Each stock unit is the economic equivalent of one share of AES Common stock. |
(2) | Immediately exercisable. |