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Share Name | Share Symbol | Market | Type |
---|---|---|---|
AES Corp | NYSE:AES | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.58 | 3.19% | 18.75 | 19.01 | 18.30 | 18.43 | 11,059,060 | 01:00:00 |
Contents
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Report of Independent Registered Public Accounting Firm
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Financial Statements
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Statements of Net Assets Available for Benefits
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Statement of Changes in Net Assets Available for Benefits
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Notes to Financial Statements
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Supplemental Schedule
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Schedule H, Line 4i - Schedule of Assets (Held at End of Year)
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December 31,
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|||||
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2015
|
2014
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||||
Assets
|
|
|
||||
Investments - at fair value
|
$
|
147,604,075
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|
$
|
160,900,903
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|
|
|
|
||||
Receivables:
|
|
|
||||
Notes receivable from participants
|
3,323,315
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|
3,326,341
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||
Participant contributions
|
—
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|
241,376
|
|
||
Employer contributions
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—
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112,133
|
|
||
Other
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—
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258,419
|
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||
Total receivables
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3,323,315
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3,938,269
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||
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|
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||||
Total assets
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150,927,390
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164,839,172
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||
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Liabilities
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|
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||||
Accrued administrative expenses
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—
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39,990
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||
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||||
Net assets available for benefits
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$
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150,927,390
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$
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164,799,182
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See accompanying notes to financial statements.
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Additions
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Investment income / (loss):
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Net depreciation in fair value of investments
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$
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(10,578,792
|
)
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Interest and dividends
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6,623,513
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|
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(3,955,279
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)
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|
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||
Interest income on notes receivable from participants
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146,680
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|
|
|
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||
Contributions:
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|
||
Participants
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6,217,111
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Rollovers
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164,532
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Employer
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3,001,468
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|
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9,383,111
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|
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Total additions
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5,574,512
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Deductions
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Benefit payments
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19,287,008
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Administrative expenses
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159,296
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Total deductions
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19,446,304
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Net decrease
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(13,871,792
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)
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|
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Net assets available for benefits:
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|
||
Beginning of year
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164,799,182
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End of year
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$
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150,927,390
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|
|
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||
See accompanying notes to financial statements.
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•
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Level 1 - Unadjusted quoted prices in active markets that are accessible to the reporting entity at the measurement date for identical assets and liabilities.
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•
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Level 2 - Inputs other than quoted prices in active markets for identical assets and liabilities that are observable, either directly or indirectly, for substantially the full term of the asset or liability. Level 2 inputs include the following:
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•
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quoted prices for similar assets and liabilities in active markets;
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•
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quoted prices for identical or similar assets or liabilities in markets that are not active;
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•
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observable inputs other than quoted prices that are used in the valuation of the assets or liabilities (e.g., interest rate and yield curve quotes at commonly quoted intervals);
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•
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inputs that are derived principally from or corroborated by observable market data by correlation or other means.
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•
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Level 3 - Unobservable inputs for the asset or liability (i.e., supported by little or no market activity). Level 3 inputs include management’s own assumption about the assumptions that market participants would use in pricing the asset or liability (including assumptions about risk).
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Assets at Fair Value as of December 31, 2015
|
|||||||||||
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Level 1
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Level 2
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Level 3
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Total
|
||||||||
AES common stock
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$
|
13,034,977
|
|
$
|
—
|
|
$
|
—
|
|
$
|
13,034,977
|
|
Mutual funds
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115,772,558
|
|
—
|
|
—
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|
115,772,558
|
|
||||
Self-directed brokerage mutual funds
|
1,922,251
|
|
—
|
|
—
|
|
1,922,251
|
|
||||
|
$
|
130,729,786
|
|
$
|
—
|
|
$
|
—
|
|
130,729,786
|
|
|
Investments measured at net asset value:
|
|
|
|
|
||||||||
Common/collective trusts (a)
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|
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|
16,874,289
|
|
|||||||
Total assets at fair value
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|
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|
$
|
147,604,075
|
|
||||||
|
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|
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|
||||||||
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Assets at Fair Value as of December 31, 2014
|
|||||||||||
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Level 1
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Level 2
|
Level 3
|
Total
|
||||||||
AES common stock
|
$
|
16,246,973
|
|
$
|
—
|
|
$
|
—
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|
$
|
16,246,973
|
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Mutual funds
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104,354,938
|
|
—
|
|
—
|
|
104,354,938
|
|
||||
Self-directed brokerage mutual funds
|
1,901,942
|
|
—
|
|
—
|
|
1,901,942
|
|
||||
|
$
|
122,503,853
|
|
$
|
—
|
|
$
|
—
|
|
122,503,853
|
|
|
Investments measured at net asset value:
|
|
|
|
|
||||||||
Common/collective trusts (a) (b)
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|
|
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38,397,050
|
|
|||||||
Total assets at fair value
|
|
|
|
$
|
160,900,903
|
|
(a)
|
This category includes common/collective trust funds that are designed to deliver safety and stability by preserving principal and accumulating earnings. These funds are primarily
|
(b)
|
This category also includes a common/collective trust fund that seeks total return and to outperform benchmark and to identify attractively valued small- and mid-sized companies that have the potential for above-average capital appreciation.
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December 31,
|
|||||
|
2015
|
2014
|
||||
Net assets available for benefits per the financial statements
|
$
|
150,927,390
|
|
$
|
164,799,182
|
|
Add: Adjustment from fair value to contract value for fully benefit-responsive investment contracts
|
—
|
|
293,267
|
|
||
Net assets available for benefits per the Form 5500
|
$
|
150,927,390
|
|
$
|
165,092,449
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|
Total additions per the financial statement
|
|
$
|
5,574,512
|
|
Less: Adjustment from fair value to contract value for fully benefit-responsive investment contracts at December 31, 2014
|
|
(293,267
|
)
|
|
Total additions per Form 5500
|
|
$
|
5,281,245
|
|
Party-in-interest
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Identity of Issue, Borrower, Lessor, or Similar Party
|
Description of Investment, Including Maturity Date, Rate of Interest, Collateral, Par, or Maturity Value
|
Cost
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Current Value
|
|||||
(a)
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(b)
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(c)
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(d)
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(e)
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|||||
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Cash and Cash Equivalents:
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*
|
T. Rowe Price Trust Company
|
Cash and cash equivalents
|
$
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3,031
|
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**
|
$
|
3,031
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||||
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Money Market Funds:
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||||
*
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T. Rowe Price Trust Company
|
Prime Reserve Fund
|
1,035
|
|
**
|
1,035
|
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||
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Fidelity Investments
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Fidelity Retirement Money Market Funds
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1,383,166
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**
|
1,383,166
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||
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Total Money Market Funds
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1,384,201
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|
|||
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|
||||
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Mutual Funds:
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|
|
||||
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Fidelity Investments
|
Spartan Extended Market Index Investment Fund
|
41,322
|
|
**
|
2,074,378
|
|
||
|
American Funds
|
American Washington Mutual Investment
|
74,295
|
|
**
|
2,856,657
|
|
||
|
Harbor Funds
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Harbor Capital Appreciation Institutional
|
75,498
|
|
**
|
4,591,007
|
|
||
|
T. Rowe Price Tradelink
|
Self-Directed Brokerage Mutual Funds
|
1,922,251
|
|
**
|
1,922,251
|
|
||
|
American Funds
|
American EuroPacific Growth Fund
|
41,580
|
|
**
|
1,884,392
|
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||
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BlackRock Funds
|
BlackRock Inflation Protected Bond Fund
|
42,311
|
|
**
|
429,038
|
|
||
|
PIMCO Funds
|
PIMCO Total Return Fund
|
193,854
|
|
**
|
1,952,111
|
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Vanguard
|
Vanguard Institutional Index Fund
|
23,469
|
|
**
|
4,379,806
|
|
||
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Vanguard
|
Vanguard Intermediate TR Bond Index Fund
|
27,563
|
|
**
|
742,815
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2005 Fund
|
55,702
|
|
**
|
692,372
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2010 Fund
|
30,709
|
|
**
|
518,376
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2015 Fund
|
779,401
|
|
**
|
10,662,204
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2020 Fund
|
1,452,901
|
|
**
|
28,607,612
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2025 Fund
|
1,707,654
|
|
**
|
25,529,421
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2030 Fund
|
725,799
|
|
**
|
15,829,674
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2035 Fund
|
405,189
|
|
**
|
6,397,938
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2040 Fund
|
149,261
|
|
**
|
3,370,313
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2045 Fund
|
144,340
|
|
**
|
2,188,189
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2050 Fund
|
88,446
|
|
**
|
1,126,796
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2055 Fund
|
40,796
|
|
**
|
518,513
|
|
||
*
|
T. Rowe Price Trust Company
|
Retirement 2060 Fund
|
3,483
|
|
**
|
33,714
|
|
||
|
Total Mutual Funds
|
|
|
|
116,307,577
|
|
|||
|
|
|
|
|
|
|
|||
|
Common/Collective Trusts
|
|
|
|
|
||||
|
Wells Fargo
|
Wells Fargo Stable Value Fund C - CCT
|
287,743
|
|
**
|
14,692,174
|
|
||
*
|
T. Rowe Price Trust Company
|
TRP Stable Value Fund - N
|
2,182,115
|
|
**
|
2,182,115
|
|
||
|
Total Common/Collective Trusts
|
|
|
|
16,874,289
|
|
|||
|
|
|
|
|
|
||||
|
Stock:
|
|
|
|
|
||||
*
|
The AES Corporation
|
The AES Corporation common stock
|
1,371,762
|
|
**
|
13,034,977
|
|
||
|
|
|
|
|
|
||||
|
Notes Receivable from Participants:
|
|
|
|
|||||
*
|
Participant loans
|
Interest rates ranging from 4.25% to 9.25% with maturity at various dates through February 2025
|
|
|
3,323,315
|
|
|||
|
Total
|
|
|
|
$
|
150,927,390
|
|
||
|
|
|
|
|
|
||||
|
* Party-in-interest.
|
|
|
|
|
||||
|
** Participant-directed investment, cost not required.
|
|
|
|
1 Year AES Chart |
1 Month AES Chart |
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