Filing Details
- Accession Number:
- 0001127602-22-001145
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-01-07 16:17:10
- Reporting Period:
- 2022-01-05
- Accepted Time:
- 2022-01-07 16:17:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1348876 | Andres Gluski | 4300 Wilson Boulevard Arlington VA 22203 | President And Ceo | Yes | 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 | 2022-01-05 | 524,511 | $11.17 | 1,668,235 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-01-05 | 374,391 | $23.94 | 1,293,844 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-01-05 | 150,120 | $23.39 | 1,143,724 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-01-05 | 524,511 | $0.00 | 524,511 | $11.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-02-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 29,262 | Indirect | By 401(k) Plan |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 17, 2021.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.47 to $24.46, inclusive. The reporting undertakes to provide, upon request by the Securities and Exchange Commission Staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 17, 2021.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.33 to $23.465, inclusive. The reporting undertakes to provide, upon request by the Securities and Exchange Commission Staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.
- Since the last Form 4 filing on August 12, 2021, the reporting person did not acquire additional shares of AES Common Stock pursuant to The AES Corporation Retirement Savings Plan. This information is based on a plan statement dated January 5, 2022.
- This stock option award was granted on February 15, 2013 pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal installments on February 15, 2014, February 15, 2015 and February 15, 2016.
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