Form 4 for AES AES Corporation
Accepted 2021-08-12 00:00:00 ET · period of report 2021-08-10 · accession 0001127602-21-023623 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-12 | 2021-08-10 | AES | Da Santos Bernerd | EVP, COO | M - OptEx | $13.22 | +51.9K | 255.1K | +26% | +$686.5K |
| D | 2021-08-12 | 2021-08-10 | AES | Da Santos Bernerd | EVP, COO | S - Sale+OE | $24.33 | -51.9K | 203.1K | -20% | -$1.26M |
| DM | 2021-08-12 | 2021-08-10 | AES | Da Santos Bernerd | EVP, COO | M - OptEx | $0.00 | -51.9K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-10 | M | A | 21,211 | $11.17 | 224,339 | D | — | — | |
| 2 | Common | Common Stock | 2021-08-10 | S | D | 51,941 | $24.33 | 203,128 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.11 to $24.60, inclusive. The reporting person 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 ranges. |
| 3 | Common | Common Stock | 2021-08-10 | M | A | 30,730 | $14.63 | 255,069 | D | — | — | |
| 4 | Derivative | Stock Option (Right to Buy) | 2021-08-10 | M | D | 21,211 | $0.00 | 0 | D | $11.17 · — to 2023-02-15 | 21,211 Common Stock | (F3) 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 annual installments on February 15, 2014, February 15, 2015, and February 15, 2016. |
| 5 | Derivative | Stock Option (Right to Buy) | 2021-08-10 | M | D | 30,730 | $0.00 | 0 | D | $14.63 · — to 2024-02-21 | 30,730 Common Stock | (F4) This stock option award was granted on February 21, 2014 pursuant to The AES Corporation 2003 Long Term Compensation Plan and vested in three equal annual installments on February 21, 2015, February 21, 2016, and February 21, 2017. |