AES

SEC source: 0001127602-17-009026 · form4.xml · nonDerivative · entry 1

Da Santos Bernerd · CIK 0001626763 · Sr. VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,842

F1 · price: This Performance Stock Unit ("PSU") was granted on February 21, 2014 pursuant to The AES Corporation 2003 Long Term Compensation Plan. After the prescribed three year vesting period, the AES Board of Directors approved the performance value for the grant. Each earned PSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-17-009024 · form4.xml · nonDerivative · entry 3

Mendoza Tish · CIK 0001628839 · Sr. VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,861

F3 · shares: This 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 24, 2018, if certain continuing employment conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-17-009024 · form4.xml · nonDerivative · entry 2

Mendoza Tish · CIK 0001628839 · Sr. VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,922

F2 · shares: Reflects tax withholding in connection with the vesting and settlement of earned PSUs granted in February 2014.

SEC source: 0001127602-17-009024 · form4.xml · nonDerivative · entry 1

Mendoza Tish · CIK 0001628839 · Sr. VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,206

F1 · price: This Performance Stock Unit ("PSU") was granted on February 21, 2014 pursuant to The AES Corporation 2003 Long Term Compensation Plan. After the prescribed three year vesting period, the AES Board of Directors approved the performance value for the grant. Each earned PSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-17-008058 · form4.xml · nonDerivative · entry 1

Souza Fabian · CIK 0001644567 · VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,804

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-008056 · form4.xml · nonDerivative · entry 1

O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,682

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-008054 · form4.xml · nonDerivative · entry 1

miller brian a · CIK 0001348872 · EVP, General Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,340

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-008052 · form4.xml · nonDerivative · entry 1

Mendoza Tish · CIK 0001628839 · Sr. VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,285

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-008050 · form4.xml · nonDerivative · entry 1

HACKENSON ELIZABETH · CIK 0001286143 · Sr. VP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,360

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-008048 · form4.xml · nonDerivative · entry 1

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 702,360

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-008044 · form4.xml · nonDerivative · entry 1

Chilton Michael · CIK 0001629446 · Sr. VP Global Engr & Const

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,995

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-008046 · form4.xml · nonDerivative · entry 1

Da Santos Bernerd · CIK 0001626763 · Sr. VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,952

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units granted February 21, 2014. There was no transaction in the market.

SEC source: 0001127602-17-007887 · form4.xml · nonDerivative · entry 2

Souza Fabian · CIK 0001644567 · VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,272

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007887 · form4.xml · nonDerivative · entry 1

Souza Fabian · CIK 0001644567 · VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,027

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-007886 · form4.xml · nonDerivative · entry 2

O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,134

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007886 · form4.xml · nonDerivative · entry 1

O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,580

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-007885 · form4.xml · nonDerivative · entry 2

miller brian a · CIK 0001348872 · EVP, General Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,140

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007885 · form4.xml · nonDerivative · entry 1

miller brian a · CIK 0001348872 · EVP, General Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,550

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-007884 · form4.xml · nonDerivative · entry 2

Mendoza Tish · CIK 0001628839 · Sr. VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,778

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007884 · form4.xml · nonDerivative · entry 1

Mendoza Tish · CIK 0001628839 · Sr. VP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,484

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-007883 · form4.xml · nonDerivative · entry 2

HACKENSON ELIZABETH · CIK 0001286143 · Sr. VP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,223

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007883 · form4.xml · nonDerivative · entry 1

HACKENSON ELIZABETH · CIK 0001286143 · Sr. VP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,990

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-007882 · form4.xml · nonDerivative · entry 2

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 715,438

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007882 · form4.xml · nonDerivative · entry 1

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 731,457

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-007880 · form4.xml · nonDerivative · entry 2

Da Santos Bernerd · CIK 0001626763 · Sr. VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,552

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007880 · form4.xml · nonDerivative · entry 1

Da Santos Bernerd · CIK 0001626763 · Sr. VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,034

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-007868 · form4.xml · nonDerivative · entry 2

Chilton Michael · CIK 0001629446 · Sr. VP Global Engr & Const

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,215

F2 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the RSUs granted February 19, 2016. There was no transaction in the market.

SEC source: 0001127602-17-007868 · form4.xml · nonDerivative · entry 1

Chilton Michael · CIK 0001629446 · Sr. VP Global Engr & Const

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,242

F1 · shares: Reflects tax withholding paid in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 20, 2015. There was no transaction in the market.

SEC source: 0001127602-17-003897 · form4.xml · derivative · entry 1

Souza Fabian · CIK 0001644567 · VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,035 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person established a special purpose account under The AES Corporation Restoration Supplemental Retirement Plan ("RSRP") in 2007. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date. There was no sale in the market.

F1 · derivative.exercise_date: The reporting person established a special purpose account under The AES Corporation Restoration Supplemental Retirement Plan ("RSRP") in 2007. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date. There was no sale in the market.

F1 · derivative.expiration_date: The reporting person established a special purpose account under The AES Corporation Restoration Supplemental Retirement Plan ("RSRP") in 2007. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date. There was no sale in the market.

SEC source: 0001127602-17-003900 · form4.xml · derivative · entry 1

miller brian a · CIK 0001348872 · EVP, General Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,922

Underlying: Common Stock · 22,505 shares

Expires not disclosed

F1 · derivative.exercise_price: There was no sale in the market. The reporting person established three special purpose accounts under The AES Corporation Restoration Supplemental Retirement Plan (the "RSRP") in 2006, 2007 and 2011. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date.

F1 · derivative.exercise_date: There was no sale in the market. The reporting person established three special purpose accounts under The AES Corporation Restoration Supplemental Retirement Plan (the "RSRP") in 2006, 2007 and 2011. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date.

F1 · derivative.expiration_date: There was no sale in the market. The reporting person established three special purpose accounts under The AES Corporation Restoration Supplemental Retirement Plan (the "RSRP") in 2006, 2007 and 2011. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date.

SEC source: 0001127602-17-003899 · form4.xml · derivative · entry 1

Chilton Michael · CIK 0001629446 · Sr. VP Global Engr & Const

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,012

Underlying: Common Stock · 446 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person established two special purpose accounts under The AES Corporation Restoration Supplemental Retirement Plan ("RSRP") in 2012. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date. There was no sale in the market.

F1 · derivative.exercise_date: The reporting person established two special purpose accounts under The AES Corporation Restoration Supplemental Retirement Plan ("RSRP") in 2012. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date. There was no sale in the market.

F1 · derivative.expiration_date: The reporting person established two special purpose accounts under The AES Corporation Restoration Supplemental Retirement Plan ("RSRP") in 2012. The distribution date of the accounts, including the hypothetical AES shares, was made at the time each account was opened. Prior to payment, the reporting person had the right to transfer the value of his account into an alternative investment account. Each unit represents a hypothetical AES investment equal to one share of AES Common Stock. Under the terms of the RSRP, distributions are automatically paid in cash and not in stock beginning on or about February 1st of the year following the year designated by the participant as his distribution date. There was no sale in the market.

SEC source: 0001127602-16-070021 · form4.xml · nonDerivative · entry 1

Chilton Michael · CIK 0001629446 · Sr. VP Global Engr & Const

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,345

F1 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the Restricted Stock Unit award granted on December 12, 2014. There was no transaction in the market.