SEC Form 4 · accession 0001127602-17-015468
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bernerd Da Santos
Officer — Sr. VP and COO
Period of report
Apr 23, 2017
Accepted (ET)
Apr 25, 2017 · 6:50 pm EDT
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 | Apr 23, 2017 | F | 4,974 | $11.38 | D | 91,486 | D | |
| Common StockF2 | holding | — | — | — | 23,944 | 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-half of the Restricted Stock Units ("RSUs") granted April 23, 2015. There was no transaction in the market.
- F2Since the last Form 4 filing on February 28, 2017, the reporting person acquired no additional shares of AES Common Stock under The AES Corporation Retirement Savings Plan.