AES

SEC source: 0001127602-21-001700 · form4.xml · derivative · entry 1

Sebastian Teresa Mosley · CIK 0001502941 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,995

Underlying: Common Stock · 2,995 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-029038 · form4.xml · nonDerivative · entry 1

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,123,190

F1 · kind: This transaction involved a gift of securities by the reporting person to an irrevocable trust for the benefit of his sons.

SEC source: 0001418812-20-000052 · primary_doc.xml · nonDerivative · entry 1

UBBEN JEFFREY W · CIK 0001159187 · Director · See Remarks

ValueAct Holdings, L.P. · CIK 0001418814 · Director · See Remarks

ValueAct Spring Master Fund, L.P. · CIK 0001728461 · Director · See Remarks

VA Partners I, LLC · CIK 0001418812 · Director · See Remarks

ValueAct Capital Management, L.P. · CIK 0001351069 · Director · See Remarks

ValueAct Capital Management, LLC · CIK 0001351073 · Director · See Remarks

ValueAct Holdings II, L.P. · CIK 0001763309 · Director · See Remarks

ValueAct Holdings GP, LLC · CIK 0001418813 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,346,500

F1 · price: Weighted-average price at which shares were purchased on the listed date between the range of $12.19 and $12.25 per share. The reporting persons undertake to provide upon request to the SEC Staff, the Issuer, or a security holder of the Issuer information regarding the number of shares purchased at each price.

F2 · ownership.nature: Each reporting person listed herein disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The securities reported herein are directly beneficially owned by ValueAct Spring Master Fund, L.P. and may be deemed to be indirectly beneficially owned by (i) VA Partners I, LLC as General Partner of ValueAct Spring Master Fund, L.P., (ii) ValueAct Capital Management, L.P. as the manager of ValueAct Spring Master Fund, L.P., (iii) ValueAct Capital Management, LLC as General Partner of ValueAct Capital Management, L.P., (iv) ValueAct Holdings, L.P. as the majority owner of the membership interests of VA Partners I, LLC, (v) ValueAct Holdings II, L.P. as the sole owner of the membership interests of ValueAct Capital Management, LLC and as the majority owner of the limited partnership interests of ValueAct Capital Management, L.P., and (vi) ValueAct Holdings GP, LLC as General Partner of ValueAct Holdings, L.P. and ValueAct Holdings II, L.P.

SEC source: 0001418812-20-000042 · primary_doc.xml · nonDerivative · entry 1

UBBEN JEFFREY W · CIK 0001159187 · Director · See Remarks

ValueAct Holdings, L.P. · CIK 0001418814 · Director · See Remarks

ValueAct Spring Master Fund, L.P. · CIK 0001728461 · Director · See Remarks

VA Partners I, LLC · CIK 0001418812 · Director · See Remarks

ValueAct Capital Management, L.P. · CIK 0001351069 · Director · See Remarks

ValueAct Capital Management, LLC · CIK 0001351073 · Director · See Remarks

ValueAct Holdings II, L.P. · CIK 0001763309 · Director · See Remarks

ValueAct Holdings GP, LLC · CIK 0001418813 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 4,846,500

F1 · price: Weighted-average price at which shares were purchased on the listed date between the range of $11.67 and $11.68 per share. The reporting persons undertake to provide upon request to the SEC Staff, the Issuer, or a security holder of the Issuer information regarding the number of shares purchased at each price.

F2 · ownership.nature: Each reporting person listed herein disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The securities reported herein are directly beneficially owned by ValueAct Spring Master Fund, L.P. and may be deemed to be indirectly beneficially owned by (i) VA Partners I, LLC as General Partner of ValueAct Spring Master Fund, L.P., (ii) ValueAct Capital Management, L.P. as the manager of ValueAct Spring Master Fund, L.P., (iii) ValueAct Capital Management, LLC as General Partner of ValueAct Capital Management, L.P., (iv) ValueAct Holdings, L.P. as the majority owner of the membership interests of VA Partners I, LLC, (v) ValueAct Holdings II, L.P. as the sole owner of the membership interests of ValueAct Capital Management, LLC and as the majority owner of the limited partnership interests of ValueAct Capital Management, L.P., and (vi) ValueAct Holdings GP, LLC as General Partner of ValueAct Holdings, L.P. and ValueAct Holdings II, L.P.

SEC source: 0001418812-20-000035 · primary_doc.xml · derivative · entry 2

UBBEN JEFFREY W · CIK 0001159187 · Director · See Remarks

ValueAct Holdings, L.P. · CIK 0001418814 · Director · See Remarks

ValueAct Spring Master Fund, L.P. · CIK 0001728461 · Director · See Remarks

VA Partners I, LLC · CIK 0001418812 · Director · See Remarks

ValueAct Capital Management, L.P. · CIK 0001351069 · Director · See Remarks

ValueAct Capital Management, LLC · CIK 0001351073 · Director · See Remarks

ValueAct Holdings II, L.P. · CIK 0001763309 · Director · See Remarks

ValueAct Holdings GP, LLC · CIK 0001418813 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,553

Underlying: Common Stock · 12,608 shares

Expires not disclosed

F3 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F3 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F3 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F3 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F4 · ownership.direct: The ValueAct entities referred to in footnote 2 are collectively referred to herein as "ValueAct Capital." Under an agreement with ValueAct Capital, Jeffrey W. Ubben is deemed to hold the common stock for the benefit of the limited partners of ValueAct Spring Master Fund, L.P. and indirectly for (i) VA Partners I, LLC as General Partner of ValueAct Spring Master Fund, L.P., (ii) ValueAct Capital Management, L.P. as the manager of ValueAct Spring Master Fund, L.P., (iii) ValueAct Capital Management, LLC as General Partner of ValueAct Capital Management, L.P., (iv) ValueAct Holdings, L.P. as the majority owner of the membership interests of VA Partners I, LLC, (v) ValueAct Holdings II, L.P. as the sole owner of the membership interests of ValueAct Capital Management, LLC and as the majority owner of the limited partnership interests of ValueAct Capital Management, L.P., and (vi) ValueAct Holdings GP, LLC as General Partner of ValueAct Holdings, L.P. and ValueAct Holdings II, L.P.

SEC source: 0001127602-20-014575 · form4.xml · derivative · entry 1

MORSE JOHN B JR · CIK 0001018396 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,000

Underlying: Common Stock · 36,328 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-014571 · form4.xml · derivative · entry 1

MONIE ALAIN · CIK 0001230564 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,750

Underlying: Common Stock · 22,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-014561 · form4.xml · derivative · entry 1

Laulis Julia M. · CIK 0001644052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,641

Underlying: Common Stock · 23,641 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-014564 · form4.xml · derivative · entry 1

MILLER JAMES H · CIK 0001226534 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,061

Underlying: Common Stock · 12,608 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-014557 · form4.xml · derivative · entry 1

Khanna Tarun · CIK 0001459592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,928

Underlying: Common Stock · 15,957 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-014558 · form4.xml · derivative · entry 1

KOEPPEL HOLLY K · CIK 0001210399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,609

Underlying: Common Stock · 19,307 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-014556 · form4.xml · derivative · entry 1

DAVIDSON JANET · CIK 0001230523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,986

Underlying: Common Stock · 15,957 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-014555 · form4.xml · derivative · entry 1

Naim Moises · CIK 0001573692 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,845

Underlying: Common Stock · 21,671 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · price: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.exercise_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

F1 · derivative.expiration_date: Each stock unit is the economic equivalent of one share of AES Common Stock. These units will be settled for shares of AES Common Stock after the date the reporting person terminates service on the Board in accordance with the Director's election form under The AES Corporation 2003 Long Term Compensation Plan, as amended on April 23, 2015.

SEC source: 0001127602-20-011755 · form4.xml · nonDerivative · entry 1

Khanna Tarun · CIK 0001459592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,300

SEC source: 0001127602-20-011580 · form4.xml · nonDerivative · entry 3

Da Santos Bernerd · CIK 0001626763 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,806

SEC source: 0001127602-20-011580 · form4.xml · nonDerivative · entry 2

Da Santos Bernerd · CIK 0001626763 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,882

SEC source: 0001127602-20-011580 · form4.xml · nonDerivative · entry 1

Da Santos Bernerd · CIK 0001626763 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,306

SEC source: 0001127602-20-011578 · form4.xml · nonDerivative · entry 1

Nebreda Julian · CIK 0001754406 · SVP, Andes SBU President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,509

SEC source: 0001127602-20-011576 · form4.xml · nonDerivative · entry 1

Freedman Paul L · CIK 0001732841 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,112

SEC source: 0001127602-20-011574 · form4.xml · nonDerivative · entry 1

Krueger Lisa · CIK 0001754410 · SVP, US SBU President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,078

SEC source: 0001127602-20-011572 · form4.xml · nonDerivative · entry 1

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,573,190

SEC source: 0001127602-20-011753 · form4.xml · nonDerivative · entry 1

Rubiolo Juan Ignacio · CIK 0001754411 · SVP, MCAC SBU President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,718

SEC source: 0001127602-20-011713 · form4.xml · nonDerivative · entry 1

Moreno Leonardo · CIK 0001754413 · SVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,326

SEC source: 0001127602-20-011710 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,946

SEC source: 0001127602-20-011707 · form4.xml · nonDerivative · entry 1

Pimenta Gustavo · CIK 0001764320 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,168

SEC source: 0001127602-20-010675 · form4.xml · nonDerivative · entry 1

MORSE JOHN B JR · CIK 0001018396 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001127602-20-009628 · form4.xml · derivative · entry 7

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 99,734 shares

Expires 2021-09-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan. This award vested in three equal installments such that one third vested on each of September 30, 2012, September 30, 2013 and September 30, 2014.

SEC source: 0001127602-20-009628 · form4.xml · derivative · entry 6

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 107,807 shares

Expires 2021-02-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This stock option award was granted pursuant to The AES Corporation 2003 Long Term Compensation Plan. This award vested in three equal annual installments such that one third vested on each of February 18, 2012, February 18, 2013, and February 18, 2014.

SEC source: 0001127602-20-009628 · form4.xml · nonDerivative · entry 4

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,563,667

F1 · shares: Reflects tax and exercise price withholding. There was no transaction in the market.

SEC source: 0001127602-20-009628 · form4.xml · nonDerivative · entry 3

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,640,712

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-20-009628 · form4.xml · nonDerivative · entry 2

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,540,978

F1 · shares: Reflects tax and exercise price withholding. There was no transaction in the market.

SEC source: 0001127602-20-009628 · form4.xml · nonDerivative · entry 1

Gluski Andres · CIK 0001348876 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,634,236

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-20-007834 · form4.xml · nonDerivative · entry 6

Nebreda Julian · CIK 0001754406 · SVP, Andes SBU President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,509

F6 · shares: Reflects tax withholding in connection with the settlement of PSUs granted on February 24, 2017.

SEC source: 0001127602-20-007834 · form4.xml · nonDerivative · entry 5

Nebreda Julian · CIK 0001754406 · SVP, Andes SBU President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,049

F5 · shares: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

F5 · price: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-20-007834 · form4.xml · nonDerivative · entry 4

Nebreda Julian · CIK 0001754406 · SVP, Andes SBU President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,581

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.

SEC source: 0001127602-20-007833 · form4.xml · nonDerivative · entry 6

Dubuc Manuel Perez · CIK 0001754412 · SVP, New Energy Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,399

F6 · shares: Reflects tax withholding in connection with the settlement of PSUs granted on February 24, 2017.

SEC source: 0001127602-20-007833 · form4.xml · nonDerivative · entry 5

Dubuc Manuel Perez · CIK 0001754412 · SVP, New Energy Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,062

F5 · shares: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

F5 · price: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-20-007833 · form4.xml · nonDerivative · entry 4

Dubuc Manuel Perez · CIK 0001754412 · SVP, New Energy Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,572

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.

SEC source: 0001127602-20-007831 · form4.xml · nonDerivative · entry 4

Pimenta Gustavo · CIK 0001764320 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,938

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.

SEC source: 0001127602-20-007830 · form4.xml · nonDerivative · entry 6

Moreno Leonardo · CIK 0001754413 · SVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,826

F6 · shares: Reflects tax withholding in connection with the settlement of PSUs granted on February 24, 2017.

SEC source: 0001127602-20-007830 · form4.xml · nonDerivative · entry 5

Moreno Leonardo · CIK 0001754413 · SVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,964

F5 · shares: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

F5 · price: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-20-007830 · form4.xml · nonDerivative · entry 4

Moreno Leonardo · CIK 0001754413 · SVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,487

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.

SEC source: 0001127602-20-007827 · form4.xml · nonDerivative · entry 4

Kohan Sherry · CIK 0001801230 · Vice President & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,715

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.

SEC source: 0001127602-20-007826 · form4.xml · nonDerivative · entry 6

Da Santos Bernerd · CIK 0001626763 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,806

F6 · shares: Reflects tax withholding in connection with the settlement of PSUs granted on February 24, 2017.

SEC source: 0001127602-20-007826 · form4.xml · nonDerivative · entry 5

Da Santos Bernerd · CIK 0001626763 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,152

F5 · shares: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

F5 · price: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-20-007826 · form4.xml · nonDerivative · entry 4

Da Santos Bernerd · CIK 0001626763 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,062

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.

SEC source: 0001127602-20-007822 · form4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,706

F6 · shares: Reflects tax withholding in connection with the settlement of PSUs granted on February 24, 2017.

SEC source: 0001127602-20-007822 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,568

F5 · shares: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

F5 · price: This Performance Stock Unit ("PSU") was granted on February 24, 2017 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 on February 21, 2020. Each earned PSU entitles the holder to one share of AES Common Stock.

SEC source: 0001127602-20-007822 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,771

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.

SEC source: 0001127602-20-007816 · form4.xml · nonDerivative · entry 4

Freedman Paul L · CIK 0001732841 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,462

F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017.