Filing Details
- Accession Number:
- 0001127602-11-019644
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-20 18:01:03
- Reporting Period:
- 2011-06-16
- Filing Date:
- 2011-06-20
- Accepted Time:
- 2011-06-20 17:01:03
- 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 |
|---|---|---|---|---|---|---|---|
| 1237644 | T Paul Hanrahan | 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 | 2011-06-16 | 28,100 | $2.83 | 310,581 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-06-16 | 19,400 | $12.16 | 291,181 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-06-17 | 28,100 | $2.83 | 319,281 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-06-17 | 19,400 | $12.31 | 299,881 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2011-06-16 | 28,100 | $0.00 | 28,100 | $2.83 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-06-17 | 28,100 | $0.00 | 28,100 | $2.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 446,948 | 2013-02-12 | No | 4 | M | Direct | |
| 418,848 | 2013-02-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 56,167 | Indirect | By 401(k) Plan |
| Common Stock | 110 | Indirect | By Spouse |
| Common Stock | 82,068 | Indirect | By the Hanrahan 2010 Grantor Retained Annuity Trust Number One |
Footnotes
- The option exercises and reported sales were made pursuant to a 10b5-1 trading plan entered into on March 7, 2011.
- Between May 19, 2011 and June 15, 2011, the reporting person acquired an additional 143 shares of AES Common Stock at an average price of $12.55 pursuant to The AES Retirement Savings Plan. This information is based upon a plan statement dated June 15, 2011.
- This option vested in two equal installments on February 12, 2004 and 2005.
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