SEC Form 4 · accession 0001127602-18-007644
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sarah Blake
Officer — Vice President & Controller
Period of report
Feb 19, 2018
Accepted (ET)
Feb 21, 2018 · 7:37 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 19, 2018 | F | 872 | $10.45 | D | 13,672 | D | |
| Common StockF2 | Feb 20, 2018 | F | 418 | $10.40 | D | 13,254 | D | |
| Common StockF3 | holding | — | — | — | 1,556 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 2,500 | I | by Spouse |
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 Units ("RSUs") granted February 19, 2016. There was no transaction in the market.
- F2Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 20, 2015. There was no transaction in the market.
- F3Since the last Form 3 filing on November 8, 2017, the reporting person acquired 36 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 21, 2018.