Andres Gluski - Jan 5, 2022 Form 4 Insider Report for AES CORP (AES)

Role
President and CEO, Director
Signature
/s/ Andres Ricardo Gluski
Stock symbol
AES
Transactions as of
Jan 5, 2022
Transactions value $
-$6,615,439
Form type
4
Date filed
1/7/2022, 03:17 PM
Previous filing
Aug 12, 2021
Next filing
Jan 18, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AES Common Stock Options Exercise $5.86M +525K +45.86% $11.17 1.67M Jan 5, 2022 Direct
transaction AES Common Stock Sale -$8.96M -374K -22.44% $23.94 1.29M Jan 5, 2022 Direct F1, F2
transaction AES Common Stock Sale -$3.51M -150K -11.6% $23.39 1.14M Jan 5, 2022 Direct F3, F4
holding AES Common Stock 29.3K Jan 5, 2022 By 401(k) Plan F5

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 -525K -100% $0.00* 0 Jan 5, 2022 Common Stock 525K $11.17 Direct F6
* 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 September 17, 2021.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.47 to $24.46, inclusive. The reporting 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 range.
F3 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 17, 2021.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.33 to $23.465, inclusive. The reporting 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 range.
F5 Since the last Form 4 filing on August 12, 2021, the reporting person did not acquire additional shares of AES Common Stock pursuant to The AES Corporation Retirement Savings Plan. This information is based on a plan statement dated January 5, 2022.
F6 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 installments on February 15, 2014, February 15, 2015 and February 15, 2016.