Tish Mendoza - Aug 10, 2021 Form 4 Insider Report for AES CORP (AES)

Role
EVP & Chief HR Officer
Signature
/s/ Megan Campbell, attorney-in-fact
Stock symbol
AES
Transactions as of
Aug 10, 2021
Transactions value $
-$423,090
Form type
4
Date filed
8/12/2021, 07:57 PM
Next filing
Feb 22, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AES Common Stock Options Exercise $358K +32K +25.28% $11.17 159K Aug 10, 2021 Direct
transaction AES Common Stock Sale -$781K -32K -20.18% $24.38 127K Aug 10, 2021 Direct F1, F2
holding AES Common Stock 25.1K Aug 10, 2021 by 401(k) F3

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 -32K -100% $0.00* 0 Aug 10, 2021 Common Stock 32K $11.17 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 $24.12 to $24.61, 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 Since the last Form 4 filing on February 25, 2021, the reporting person acquired 148 additional shares of AES Common Stock pursuant to The AES Corporation Retirement Savings Plan. This information is based on a plan statement dated August 9, 2021.
F4 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.