SEC Form 4 · accession 0001127602-16-070021
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
Dec 12, 2016
Accepted (ET)
Dec 14, 2016 · 5:05 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 | Dec 12, 2016 | F | 3,114 | $12.01 | D | 64,345 | D | |
| Common StockF2 | holding | — | — | — | 15,697 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 104 | I | by IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects tax withholding in connection with the vesting and settlement of one-third of the Restricted Stock Unit award granted on December 12, 2014. There was no transaction in the market.
- F2Since the last Form 4 filing on February 23, 2016, the reporting person acquired 1,593 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 December 12, 2016.