Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AES CORPAES · Entity 3505 | EVP and CFO | April 23, 2018 | April 25, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AES CORP
Report date April 23, 2018 · Filed April 25, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 308,845 |
Reported balance
After 2018-04-23 transaction · row 1
1 source rowRow 1 · 2018-04-23 · Tax withholding · Disposed 20,331 · Balance 308,845 F1: Reflects tax withholding paid in connection with the settlement of one-half of the Restricted Stock Unit award granted on April 23, 2015. There was no transaction in the market. |
| Common StockSEC Table I · non-derivative | Indirectby 401(k) | 9,242 |
Reported balance
Holding disclosure · report date 2018-04-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 9,242 F2: Since the last Form 4 filing on February 27, 2018, the reporting person acquired no additional shares of AES Common Stock pursuant to The AES Corporation Retirement Savings Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects tax withholding paid in connection with the settlement of one-half of the Restricted Stock Unit award granted on April 23, 2015. There was no transaction in the market.
F2: Since the last Form 4 filing on February 27, 2018, the reporting person acquired no additional shares of AES Common Stock pursuant to The AES Corporation Retirement Savings Plan.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 23, 2018 Filed Apr 25, 2018 23:07 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 20,331 | $11.86 | $241,125.66 |
DisclosureSEC source: 0001127602-18-015270 · form4.xml · nonDerivative · entry 1 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 308,845 F1 · shares: Reflects tax withholding paid in connection with the settlement of one-half of the Restricted Stock Unit award granted on April 23, 2015. There was no transaction in the market. Read SEC document |
| February 24, 2018 Filed Feb 28, 2018 00:19 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 3,772 | $10.49 | $39,568.28 |
DisclosureSEC source: 0001127602-18-008871 · form4.xml · nonDerivative · entry 4 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,176 F4 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 24, 2017. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 00:19 UTC | AES CORP AES · Entity 3505 | GrantCommon Stock | 32,066 | $10.49 | $336,372.34 |
DisclosureSEC source: 0001127602-18-008871 · form4.xml · nonDerivative · entry 3 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,948 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 23, 2019, if certain continuing employment conditions are satisfied. If such conditions are satisfied, each RSU entitles the holder to one share of AES Common Stock. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 00:19 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 5,142 | $10.49 | $53,939.58 |
DisclosureSEC source: 0001127602-18-008871 · form4.xml · nonDerivative · entry 2 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,882 F2 · shares: Reflects tax withholding in connection with the settlement of PSUs granted in February 2015. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 00:19 UTC | AES CORP AES · Entity 3505 | GrantCommon Stock | 17,082 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-008871 · form4.xml · nonDerivative · entry 1 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,024 F1 · price: This Performance Stock Unit ("PSU") was granted on February 20, 2015 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. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 00:54 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 3,376 | $10.40 | $35,110.40 |
DisclosureSEC source: 0001127602-18-007656 · form4.xml · nonDerivative · entry 2 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,942 F2 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the RSUs granted February 20, 2015. There was no transaction in the market. Read SEC document |
| February 19, 2018 Filed Feb 22, 2018 00:54 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 4,963 | $10.45 | $51,863.35 |
DisclosureSEC source: 0001127602-18-007656 · form4.xml · nonDerivative · entry 1 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,318 F1 · shares: Reflects tax withholding in connection with the vesting and settlement of one-third of the Restricted Stock Units ("RSUs") granted February 19, 2016. There was no transaction in the market. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 21:42 UTC | AES CORP AES · Entity 3505 | OtherUnits · Derivative | 2,082 | $11.51 | $23,963.82 |
DisclosureSEC source: 0001127602-18-003757 · form4.xml · derivative · entry 1 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,686 Underlying: Common Stock · 2,082 shares Expires not disclosed F1 · derivative.exercise_price: There was no sale in the market. The reporting person established a special purpose account 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 designated by the participant as his distribution date. F1 · derivative.exercise_date: There was no sale in the market. The reporting person established a special purpose account 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 designated by the participant as his distribution date. F1 · derivative.expiration_date: There was no sale in the market. The reporting person established a special purpose account 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 designated by the participant as his distribution date. Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 14:08 UTC | AES CORP AES · Entity 3505 | PurchaseCommon Stock | 9,500 | $10.64 | $101,080.00 |
DisclosureSEC source: 0001127602-17-031974 · form4.xml · nonDerivative · entry 1 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,281 F1 · shares: On November 13, 2017, Mr. O'Flynn purchased 9,500 shares of AES Common Stock in the market at the price set forth above. Read SEC document |
| April 23, 2017 Filed Apr 25, 2017 22:54 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 21,503 | $11.38 | $244,704.14 |
DisclosureSEC source: 0001127602-17-015471 · form4.xml · nonDerivative · entry 1 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,781 F1 · shares: Reflects tax withholding paid in connection with the settlement of one-half of the Restricted Stock Unit award granted on April 23, 2015. There was no transaction in the market. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:46 UTC | AES CORP AES · Entity 3505 | GrantCommon Stock | 37,594 | $11.93 | $448,496.42 |
DisclosureSEC source: 0001127602-17-009039 · form4.xml · nonDerivative · entry 3 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 309,284 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. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:46 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 6,436 | $11.93 | $76,781.48 |
DisclosureSEC source: 0001127602-17-009039 · form4.xml · nonDerivative · entry 2 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,690 F2 · shares: Reflects tax withholding in connection with the vesting and settlement of earned PSUs granted in February 2014. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:46 UTC | AES CORP AES · Entity 3505 | GrantCommon Stock | 19,444 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-17-009039 · form4.xml · nonDerivative · entry 1 O'Flynn Thomas M. · CIK 0001538176 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,126 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. Read SEC document |
| February 21, 2017 Filed Feb 24, 2017 00:19 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 2,452 | $11.78 | $28,884.56 |
DisclosureSEC 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. Read SEC document |
| February 17, 2017 Filed Feb 23, 2017 01:39 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 5,446 | $11.46 | $62,411.16 |
DisclosureSEC 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. Read SEC document |
| February 17, 2017 Filed Feb 23, 2017 01:39 UTC | AES CORP AES · Entity 3505 | Tax withholdingCommon Stock | 3,712 | $11.46 | $42,539.52 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.