SEC Form 4 · accession 0001127602-19-008558
AES CORP · AES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gustavo Pimenta
Officer — EVP and CFO
Period of report
Feb 22, 2019
Accepted (ET)
Feb 26, 2019 · 8:24 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 22, 2019 | A | 12,835 | — | A | 44,995 | D | |
| Common StockF2 | Feb 23, 2019 | F | 1,291 | $17.53 | D | 43,704 | D | |
| Common StockF3 | Feb 24, 2019 | F | 996 | $17.53 | D | 42,708 | D |
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 22, 2020, if certain continuing employment and performance conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock.
- F2Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 23, 2018.
- F3Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.