SEC Form 4 · accession 0001127602-16-041983
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth Hackenson
Officer — Sr. VP and CIO
Period of report
Feb 15, 2016
Accepted (ET)
Feb 17, 2016 · 6:29 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 | Feb 15, 2016 | F | 1,449 | $9.17 | D | 67,210 | D | |
| Common StockF2 | holding | — | — | — | 9,119 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects tax withholding paid in connection with the settlement of one-third of the Restricted Stock Unit award granted on February 15, 2013. There was no transaction in the market.
- F2Between November 11, 2015 and February 15, 2016, the reporting person acquired 92 additional shares of AES Common Stock pursuant to The AES Corporation Retirement Savings Plan. The information in this report is based on a plan statement dated February 15, 2016.