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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Terrific Investment Corp NEW POLY PLAZA, 25TH FLOOR NO.1 NORTH CHAOYANGMEN STREET BEIJING, F4 100010 |
Former 10% Owner | |||
CHINA INVESTMENT CORP 16F-19F, NEW POLY PLAZA NO.1 NORTH CHAOYANGMEN STREET BEIJING, F4 100010 |
Former 10% Owner |
/s/ Li Keping, Executive Director and President of Terrific Investment Corporation | 12/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Ding Xuedong, Chairman and Chief Executive Officer of China Investment Corporation | 12/18/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The price represents 96% of the public offering price of $13.450 per share of Common Stock ("Common Share") of The AES Corporation (the "Issuer"). |
(2) | These securities are beneficially owned directly by Terrific Investment Corporation, and indirectly by China Investment Corporation. CIC is the parent of CIC International Co., Ltd. ("CIC International"), which is the parent of Terrific and another wholly-owned subsidiary. |
(3) | CIC International is the parent of another wholly owned subsidiary, which beneficially owns 420,830 Common Shares of the Issuer. These Common Shares may be deemed to be beneficially owned indirectly by China Investment Corporation. |
(4) | The price represents the public offering price of $13.450 per Common Share less the underwriters' discount of $0.269 per Common Share. |
(5) | These securities are beneficially owned directly by Terrific Investment Corporation, and indirectly by China Investment Corporation. CIC is the parent of CIC International, which is the parent of Terrific and another wholly-owned subsidiary. |
(6) | CIC International is the parent of another wholly owned subsidiary, which beneficially owns 420,830 Common Shares of the Issuer. These Common Shares may be deemed to be beneficially owned indirectly by China Investment Corporation. |