Filing Details
- Accession Number:
- 0001127602-11-021168
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-07-08 16:29:03
- Reporting Period:
- 2011-07-06
- Filing Date:
- 2011-07-08
- Accepted Time:
- 2011-07-08 16:29:03
- 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 | 2011-07-06 | 28,100 | $2.83 | 327,981 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-06 | 19,400 | $12.88 | 308,581 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-07-07 | 28,100 | $2.83 | 336,681 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-07 | 19,400 | $13.12 | 317,281 | 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 | 2011-07-06 | 28,100 | $0.00 | 28,100 | $2.83 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-07-07 | 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 |
|---|---|---|---|---|---|---|
| 390,748 | 2013-02-12 | No | 4 | M | Direct | |
| 362,648 | 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.
- Since Mr. Hanrahan's last filing on June 15, 2011, he acquired no additional shares of AES Common Stock pursuant to The AES Retirement Savings Plan. The information in this report is based on a plan statement dated July 7, 2011.
- This option vested in two equal installments on February 12, 2004 and 2005.
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