SEC Form 4 · accession 0001127602-15-031205
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Chilton
Officer — Sr. VP Global Engr & Const
Period of report
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 6:47 pm EST
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,F2 | Nov 10, 2015 | I | 8,458 | $10.05 | A | 13,886 | I | by 401(k) |
| Common Stock | holding | — | — | — | 58,205 | D | ||
| Common Stock | holding | — | — | — | 104 | I | by IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| UnitsF3 | — | Nov 10, 2015 | I | 3,515 | A | — | — | Common Stock | 3,515 | 6,778 | D |
Explanation of responses
- F1On November 10, 2015, this reporting person acquired 8,458 shares of AES Common Stock through The AES Corporation Retirement Savings Plan (the "Plan").
- F2Includes 962 shares of AES Common Stock that this reporting person acquired under the Plan between February 21, 2015 and November 9, 2015.
- F3These units were acquired under the Restoration Supplemental Retirement Plan ("Restoration Plan"). Generally, units under this plan are paid out in cash following termination of employment or later as provided under the terms of the Restoration Plan. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock and units under the Restoration Plan are 100% vested.