Filing Details
- Accession Number:
- 0001127602-10-028092
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-16 19:43:56
- Reporting Period:
- 2010-11-15
- Filing Date:
- 2010-11-16
- Accepted Time:
- 2010-11-16 19:43:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 874761 | Aes Corp | AES | Cogeneration Services & Small Power Producers (4991) | 541163725 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1350579 | D Victoria Harker | 4300 Wilson Boulevard Arlington VA 22203 | Executive Vp & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-11-15 | 41,528 | $6.71 | 41,528 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-15 | 9,060 | $11.61 | 32,468 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-11-15 | 16,770 | $11.60 | 15,698 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-11-15 | 14,200 | $11.59 | 1,498 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-11-15 | 1,498 | $11.58 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2010-11-15 | 41,528 | $0.00 | 41,528 | $6.71 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 83,057 | 2019-02-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,596 | Indirect | By 401(k) Plan |
Footnotes
- The option exercise and reported sales were made pursuant to a 10b5-1 trading plan entered into on 11/9/2010.
- Since Ms. Harker's last filing submitted on 02/23/2010, she acquired 925 shares of AES Common stock at an average price of $10.98 pursuant to The AES Retirement Savings Plan. This report is based upon a plan statement dated 11/12/2010.
- The option vests in three equal installments beginning on 2/20/2010.
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