SEC Form 4 · accession 0001127602-17-009043
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fabian Souza
Officer — VP and Controller
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 8:49 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 24, 2017 | A | 4,270 | $11.93 | A | 13,074 | D | |
| Common StockF2 | holding | — | — | — | 16,724 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Restricted Stock Unit ("RSU") award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan and will vest in three equal annual installments beginning on February 24, 2018, if certain continuing employment conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock.
- F2Since the last Form 4 filing on February 23, 2017, the reporting person acquired no additional shares of AES Common Stock under The AES Corporation Retirement Savings Plan.