Bernerd Da Santos - 10 Aug 2021 Form 4 Insider Report for AES CORP (AES)

Role
EVP and COO
Signature
/s/ Megan Campbell, attorney-in-fact
Issuer symbol
AES
Transactions as of
10 Aug 2021
Net transactions value
-$577,218
Form type
4
Filing time
12 Aug 2021, 19:53:44 UTC
Next filing
22 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AES Common Stock Options Exercise $236,927 +21,211 +10% $11.17 224,339 10 Aug 2021 Direct
transaction AES Common Stock Options Exercise $449,580 +30,730 +14% $14.63 255,069 10 Aug 2021 Direct
transaction AES Common Stock Sale $1,263,725 -51,941 -20% $24.33 203,128 10 Aug 2021 Direct F1, F2
holding AES Common Stock 27,842 10 Aug 2021 by 401(k)

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AES Stock Option (Right to Buy) Options Exercise $0 -21,211 -100% $0.000000* 0 10 Aug 2021 Common Stock 21,211 $11.17 Direct F3
transaction AES Stock Option (Right to Buy) Options Exercise $0 -30,730 -100% $0.000000* 0 10 Aug 2021 Common Stock 30,730 $14.63 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 11, 2021.
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.
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.
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.