Form 4 Miller Brian A

4 - Statement of changes in beneficial ownership of securities

Published: 2014-01-03 16:41:07
Submitted: 2014-01-03
Period Ending In: 2013-12-31
form4.html PRIMARY DOCUMENT


>

SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
miller brian a

(Last) (First) (Middle)
4300 WILSON BOULEVARD

(Street)
ARLINGTON VA 22203

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AES CORP [ AES ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, General Counsel and Secy
3. Date of Earliest Transaction (Month/Day/Year)
12/31/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/31/2013 F 6,671(1) D $14.51 110,591 D
Common Stock 32,711(2) I By 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Reflects tax withholding paid in connection with a Performance Stock Unit award granted on February 20, 2009 that was earned on February 17, 2012 and settled in shares of AES Common Stock on December 31, 2013.
2. Between February 15, 2013 and December 26, 2013, the reporting person acquired 1,126 shares of AES Common Stock pursuant to The AES Retirement Savings Plan. This information is based on a plan statement dated December 26, 2013.
/s/Brian A. Miller 01/03/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
form4.xml PRIMARY DOCUMENT
Schema Version:
X0306
Document Type:
4
Period Of Report:
2013-12-31

Issuer

Issuer Cik
0000874761
Issuer Name
AES CORP
Issuer Trading Symbol
AES

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001348872
Rpt Owner Name
miller brian a

Reporting Owner Address

Rpt Owner Street1
4300 WILSON BOULEVARD
Rpt Owner City
ARLINGTON
Rpt Owner State
VA
Rpt Owner Zip Code
22203

Reporting Owner Relationship

Is Officer
1
Officer Title
EVP, General Counsel and Secy

Non Derivative Table

Non Derivative Transaction

Security Title
Common Stock
Transaction Date
2013-12-31

Transaction Coding

Transaction Form Type
4
Transaction Code
F
Equity Swap Involved
0

Transaction Amounts

Transaction Shares

Value
6671
@attributes Id
F1
Transaction Price Per Share
14.51
Transaction Acquired Disposed Code
D
Shares Owned Following Transaction
110591
Direct Or Indirect Ownership
D

Non Derivative Holding

Security Title
Common Stock

Shares Owned Following Transaction

Value
32711
@attributes Id
F2

Ownership Nature

Direct Or Indirect Ownership
I
Nature Of Ownership
By 401(k) Plan

Footnote

0
Reflects tax withholding paid in connection with a Performance Stock Unit award granted on February 20, 2009 that was earned on February 17, 2012 and settled in shares of AES Common Stock on December 31, 2013.
1
Between February 15, 2013 and December 26, 2013, the reporting person acquired 1,126 shares of AES Common Stock pursuant to The AES Retirement Savings Plan. This information is based on a plan statement dated December 26, 2013.

Owner Signature

Signature Name
/s/Brian A. Miller
Signature Date
2014-01-03
Additional Files
FileSequenceDescriptionTypeSize
0001127602-14-000823.txt   Complete submission text file   5494
$AES

© 2019 SEC.report
SEC CFR Title 17 of the Code of Federal Regulations.