Form Type: 4

SEC EDGAR Link
Acccession Number:0001418812-19-000057
Date:2019-08-12
Issuer: AES CORP (AES)
Original Submission Date:

Reporting Person:

UBBEN JEFFREY W
ONE LETTERMAN DRIVE
BUILDING D, 4TH FLOOR SAN FRANCISCO, CA 94129

Reporting Person:

VALUEACT HOLDINGS, L.P.
ONE LETTERMAN DRIVE
BUILDING D, 4TH FLOOR SAN FRANCISCO, CA 94129

Reporting Person:

VALUEACT SPRING MASTER FUND, L.P.
ONE LETTERMAN DRIVE
BUILDING D, 4TH FLOOR SAN FRANCISCO, CA 94129

Reporting Person:

VA PARTNERS I, LLC
ONE LETTERMAN DRIVE
BUILDING D, 4TH FLOOR SAN FRANCISCO, CA 94129

Reporting Person:

VALUEACT CAPITAL MANAGEMENT, L.P.
ONE LETTERMAN DRIVE
BUILDING D, 4TH FLOOR SAN FRANCISCO, CA 94129

Reporting Person:

VALUEACT CAPITAL MANAGEMENT, LLC
ONE LETTERMAN DRIVE
BUILDING D, 4TH FLOOR SAN FRANCISCO, CA 94129

Reporting Person:

VALUEACT HOLDINGS II, L.P.
ONE LETTERMAN DRIVE
BUILDING D, FOURTH FLOOR SAN FRANCISCO, CA 94129

Reporting Person:

VALUEACT HOLDINGS GP, LLC
ONE LETTERMAN DRIVE
BUILDING D, 4TH FLOOR SAN FRANCISCO, CA 94129

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-08-12 P 200,000 a $15.25 4,346,500 indirect f1,f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 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.
f2 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.

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