SEC Form 4 · accession 0001127602-15-015278
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bernerd Da Santos
Officer — Sr. VP and COO
Period of report
Apr 23, 2015
Accepted (ET)
Apr 27, 2015 · 5:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000874761
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 23, 2015 | A | 30,053 | — | A | 53,143 | D | |
| Common StockF2 | holding | — | — | — | 21,057 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This restricted stock unit award ("RSU") was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest 50% on 4/23/2017 and 50% on 4/23/2018 if certain continuing employment conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock.
- F2Between February 20, 2015 and April 24, 2015, this reporting person acquired 934 shares of AES Common Stock pursuant to The AES Retirement Savings Plan. This information is based on a plan statement dated April 24, 2015.