SEC Form 4 · accession 0001127602-17-003899
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
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 4:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000874761
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| UnitsF1 | — | Feb 1, 2017 | I | 446 | D | — | — | Common Stock | 446 | 8,012 | D |
Explanation of responses
- F1The reporting person established two special purpose accounts under The AES Corporation Restoration Supplemental Retirement Plan ("RSRP") in 2012. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date. There was no sale in the market.