SEC Form 4 · accession 0001127602-18-008859
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 23, 2018
Accepted (ET)
Feb 27, 2018 · 7:04 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 23, 2018 | A | 4,652 | $10.49 | A | 17,906 | D | |
| Common StockF2 | Feb 24, 2018 | F | 689 | $10.49 | D | 17,217 | 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
- F1Includes Restricted Stock Unit ("RSU") awards granted pursuant to The AES Corporation 2003 Long Term Compensation Plan, with each award vesting in three equal annual installments from the date of grant if certain continuing employment conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock for each RSU granted.
- F2Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.
- F3Since the last Form 4 filing on February 21, 2018, the reporting person acquired no additional shares of AES Common Stock pursuant to The AES Corporation Retirement Savings Plan.