Initial Statement of Beneficial Ownership (3)
January 09 2015 - 4:39PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Da Santos Bernerd
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2015
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3. Issuer Name
and
Ticker or Trading Symbol
AES CORP [AES]
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(Last)
(First)
(Middle)
4300 WILSON BOULEVARD
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Sr. VP and COO /
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(Street)
ARLINGTON, VA 22203
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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16323
(1)
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D
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Common Stock
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19187
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I
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by 401(k)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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(2)
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2/25/2015
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Common Stock
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2722
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$17.22
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D
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Stock Option (Right to Buy)
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(3)
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2/24/2016
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Common Stock
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6361
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$17.58
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D
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Stock Option (Right to Buy)
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(4)
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2/23/2017
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Common Stock
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7375
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$22.28
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D
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Stock Option (Right to Buy)
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(5)
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2/22/2018
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Common Stock
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8170
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$18.87
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D
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Stock Option (Right to Buy)
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(6)
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2/15/2023
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Common Stock
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21211
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$11.17
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D
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Stock Option (Right to Buy)
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(7)
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2/21/2024
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Common Stock
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30730
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$14.63
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D
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Units
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(8)
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(8)
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Common Stock
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9113
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(8)
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D
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Explanation of Responses:
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(
1)
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Includes 10,693 Restricted Stock Units ("RSUs") granted under The AES Corporation 2003 Long Term Compensation Plan which will vest 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.
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(
2)
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This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/25/2006, the second installment vested on 2/25/2007 and the final installment vested on 2/25/2008.
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(
3)
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This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/24/2007, the second installment vested on 2/24/2008 and the final installment vested on 2/24/2009.
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(
4)
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This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/23/2008, the second installment vested on 2/23/2009 and the final installment vested on 2/23/2010.
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(
5)
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This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments. The first installment vested on 2/22/2009, the second installment vested on 2/22/2010 and the final installment vested on 2/22/2011.
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(
6)
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This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments if certain continuing employment conditions are satisfied. If such conditions are satisfied, he first installment vests on 2/15/2014, the second installment will vest on 2/15/2015, and the final installment will vest on 2/15/2016.
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(
7)
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This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments if certain continuing employment conditions are satisfied. If such conditions are satisfied, he first installment will vest on 2/21/2015, the second installment will vest on 2/21/2016 and the final installment will vest on 2/21/2017.
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(
8)
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These units were awarded pursuant to the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under this plan are paid out in cash following termination of employment or later as per the terms of 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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Da Santos Bernerd
4300 WILSON BOULEVARD
ARLINGTON, VA 22203
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Sr. VP and COO
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Signatures
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Bernerd R. DaSantos
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1/9/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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