SEC Form 4 · accession 0001127602-17-007886
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M. O'Flynn
Officer — EVP and CFO
Period of report
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 8:39 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 17, 2017 | F | 3,712 | $11.46 | D | 266,580 | D | |
| Common StockF2 | Feb 17, 2017 | F | 5,446 | $11.46 | D | 261,134 | D | |
| Common StockF3 | holding | — | — | — | 8,839 | 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 vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.
- F2Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.
- F3Since the last Form 4 filing on February 23, 2016, the reporting person acquired 1,255 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 17, 2017.