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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 |
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
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¨
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
|
Page
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REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
|
|
FINANCIAL STATEMENTS:
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Statements of Net Assets Available for Benefits as of December 31, 2015 and 2014
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Statement of Changes in Net Assets Available for Benefits for the Year Ended December 31, 2015
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Notes to Financial Statements as of December 31, 2015 and 2014, and for the Year Ended December 31, 2015
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SUPPLEMENTAL SCHEDULE:
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Schedule H, Part IV, Line 4i – Schedule of Assets (Held at End of Year)
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/s/ Ernst & Young LLP
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McLean, Virginia
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June 28, 2016
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December 31,
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||||||
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2015
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2014
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||||
CASH AND INVESTMENTS:
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|
|
||||
Cash
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$
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—
|
|
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$
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2
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Investments - at fair value
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323,050,071
|
|
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371,805,214
|
|
||
Total cash and investments
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323,050,071
|
|
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371,805,216
|
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RECEIVABLES:
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|
|
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||||
Notes receivable from participants
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5,388,867
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5,797,067
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Participant contributions
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320,943
|
|
|
287,086
|
|
||
Employer contributions
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352,571
|
|
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4,036,813
|
|
||
Receivables for securities sold
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17,164
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|
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79,899
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Total receivables
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6,079,545
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10,200,865
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NET ASSETS AVAILABLE FOR BENEFITS
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$
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329,129,616
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|
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$
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382,006,081
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ADDITIONS:
|
|
||
Contributions:
|
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Participant (including rollover contributions of $1,412,498)
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$
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11,959,007
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Employer
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6,253,623
|
|
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Total contributions
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18,212,630
|
|
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Interest income from notes receivable from participants
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204,957
|
|
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Investment interest and dividends
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13,485,345
|
|
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Total additions
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31,902,932
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DEDUCTIONS:
|
|
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Net depreciation in fair value of investments
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(41,450,153
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)
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Benefits paid to participants
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(43,329,244
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)
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Total deductions
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(84,779,397
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)
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DECREASE IN NET ASSETS
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(52,876,465
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)
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NET ASSETS AVAILABLE FOR BENEFITS:
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|
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Beginning of year
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382,006,081
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|
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End of year
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$
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329,129,616
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•
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less than $1,000, the Plan generally makes a cash lump sum distribution;
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•
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between $1,001 and $5,000, the Plan makes an automatic rollover to an IRA with T. Rowe Price on the participant’s behalf if the participant fails to elect a direct rollover or to receive a cash lump sum payment; and
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•
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greater than $5,000, the participant may elect to (i) receive a lump sum amount in common stock of AES, cash or a combination of both, equal to the value of the participant’s vested account balance, or (ii) receive benefits in monthly, quarterly, semiannual or annual installments over a period not to exceed the shorter of 25 years or the participant’s life expectancy.
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December 31,
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||||||
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2015
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2014
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The AES Corporation Common Stock
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$
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62,471,960
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$
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91,226,682
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Money Market Funds
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22,558,573
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26,017,202
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Mutual Funds
(1)
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202,021,916
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206,768,052
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Self-Directed Investments
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35,997,622
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47,793,278
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Total investments
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$
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323,050,071
|
|
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$
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371,805,214
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|
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AES Corporation Common Stock
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Beginning net asset balance
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$
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91,226,682
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Contributions
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11,630,575
|
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Investment interest and dividends
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2,712,509
|
|
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Net depreciation in fair value of investments
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(27,191,664
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)
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Benefits paid to participants
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(6,796,224
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)
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Transfers to other plan investments
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(9,109,918
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)
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Ending net asset balance
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$
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62,471,960
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|
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December 31,
|
||||||
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2015
|
|
2014
|
||||
Statement of Net Assets Available for Benefits:
|
|
|
|
||||
Net assets available for benefits as stated in the financial statements
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$
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329,129,616
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|
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$
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382,006,081
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Less: Benefit claims payable at end of period
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49,027
|
|
|
242,761
|
|
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Net assets available for benefits as stated on Form 5500, at fair value
|
$
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329,080,589
|
|
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$
|
381,763,320
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Statement of Changes in Net Assets Available for Benefits:
|
|
|
|
||||
Increase (Decrease) in net assets per the financial statements
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$
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(52,876,465
|
)
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$
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(3,713,149
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)
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Add: Benefit claims payable at beginning of period
|
242,761
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443,524
|
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Less: Benefit claims payable at end of period
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49,027
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242,761
|
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Net Increase (Decrease) as stated on Form 5500
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$
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(52,682,731
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)
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$
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(3,512,386
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)
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(a)
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(b)
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(c)
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(e)
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||
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Identity of Issuer, Borrower, Lessor, or Similar Party
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Description of Investment Including Maturity Date, Rate of Interest, Collateral, Par or Maturity Value
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Current Value
|
||
*
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The AES Corporation
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Common Stock, 6,527,895 shares
|
$
|
62,471,960
|
|
|
Vanguard
|
Extended Market Index Fund, 296,304 shares
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18,839,012
|
|
|
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Vanguard
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Institutional Index Fund, 193,437 shares
|
36,099,233
|
|
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Vanguard
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Morgan Growth Admiral Fund, 194,985 shares
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15,050,865
|
|
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Vanguard
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Small Cap Growth Index Fund, 204,024 shares
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6,981,710
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Vanguard
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Target Income Retirement Fund, 136,525 shares
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1,699,731
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Vanguard
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Total Bond Market Index Fund, 769,442 shares
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8,186,863
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|
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Vanguard
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Total International Stock Index Adm Fund, 252,622 shares
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6,123,549
|
|
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Vanguard
|
2010 Target Retirement Fund, 14,114 shares
|
351,168
|
|
|
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Vanguard
|
2015 Target Retirement Fund, 131,491 shares
|
1,871,122
|
|
|
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Vanguard
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2020 Target Retirement Fund, 124,450 shares
|
3,378,821
|
|
|
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Vanguard
|
2025 Target Retirement Fund, 270,008 shares
|
4,217,531
|
|
|
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Vanguard
|
2030 Target Retirement Fund, 153,251 shares
|
4,248,111
|
|
|
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Vanguard
|
2035 Target Retirement Fund, 255,641 shares
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4,304,996
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|
|
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Vanguard
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2040 Target Retirement Fund, 119,690 shares
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3,405,175
|
|
|
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Vanguard
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2045 Target Retirement Fund, 179,645 shares
|
3,194,083
|
|
|
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Vanguard
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2050 Target Retirement Fund, 49,288 shares
|
1,404,205
|
|
|
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Vanguard
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2055 Target Retirement Fund, 13,922 shares
|
429,201
|
|
|
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Vanguard
|
Prime Money Market Adm Fund, 22,558,573 shares
|
22,558,573
|
|
|
|
BlackRock
|
Global Allocation Fund, Institutional, (Class I), 1,239,361 shares
|
22,221,736
|
|
|
|
BlackRock
|
Basic Value Fund, Institutional, (Class I), 798,200 shares
|
17,624,259
|
|
|
|
Lazard
|
Emerging Markets Fund, 217,554 shares
|
2,923,922
|
|
|
|
MFS
|
Research International R5 Fund, 553,539 shares
|
8,629,672
|
|
|
|
Bank of America
|
Columbia Small Cap Value II Fund, 565,139 shares
|
8,793,568
|
|
|
|
Metropolitan West
|
Total Return Bond Fund, 2,178,286 shares
|
21,782,860
|
|
|
|
Prime Reserve Fund
|
|
260,523
|
|
|
|
Self-Directed Investments
|
|
35,997,622
|
|
|
*
|
Participant Loans
|
Interest (3.25% - 8.75%), Maturity (2016 - 2025)
|
5,388,867
|
|
|
|
TOTAL
|
|
$
|
328,438,938
|
|
*
|
Transactions in these items are considered to be exempt party-in-interest transactions under ERISA rules.
|
THE AES CORPORATION
|
|
|
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BY:
|
/s/ T
ISH
M
ENDOZA
|
|
Tish Mendoza
Chair, AES Corporation Retirement Savings Plan Committee
|
1 Year AES Chart |
1 Month AES Chart |
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