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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 | ||||||||
Stock Option Grant (right to buy) | $ 19.5 | 01/03/2007 | M | 25,000 | (2) | (2) | Common Stock | 25,000 | $ 0 | 0 | D | ||||
Stock Option Grant (right to buy) | $ 2.2 | 01/03/2007 | M | 274,600 | (3) | (3) | Common Stock | 274,600 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HANRAHAN PAUL T 4300 WILSON BOULEVARD ARLINGTON, VA 22203 |
X | President and CEO |
/s/ Paul T. Hanrahan | 01/05/2006 | |
**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) | This sale was executed pursuant to a written plan intended to comply with Rule 10b5-1 under the Securities Act of 1934. Mr. Hanrahan's sales plan was adopted on December 7, 2006. |
(2) | This ten year stock option grant was awarded on 12/03/1997 and vested in two equal annual installments such that one half vested on 12/03/1998 and the remaining half vested on 12/03/1999. |
(3) | This ten year stock option grant was awarded on 07/29/2002 and vested in two equal annual installments such that one half vested on 07/29/2003 and the remaining half vested on 07/29/2004. |
(4) | Since Mr. Hanrahan's last Form 4 filing on 05/18/2006, he acquired 337 shares of AES Common stock at an average price of $21.54 pursuant to The AES Retirement Savings Plan (the "Plan"). This report is based upon a Plan statement dated 12/29/2006. As of 12/29/2006, Mr. Hanrahan's aggregate AES Common stock holding under the Plan is now 43,067 shares, which he holds indirectly. |
(5) | 110 shares of AES Common stock are beneficially owned by Mr. Hanrahan's spouse. Mr. Hanrahan has indirect beneficial ownership of these securities through his spouse. |