Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-21-023623
Date:2021-08-10
Issuer: AES CORP (AES)
Original Submission Date:

Reporting Person:

DA SANTOS BERNERD
4300 WILSON BOULEVARD
ARLINGTON, VA 22203

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-08-10 M 21,211 a $11.17 224,339 direct
COMMON STOCK 2021-08-10 M 30,730 a $14.63 255,069 direct
COMMON STOCK 2021-08-10 S 51,941 d $24.33 203,128 direct
COMMON STOCK 2021-08-10 0 $0.00 27,842 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 11.17 2021-08-10 deemed execution date M 21,211 (d) 2023-02-15 common stock 21,211 $11.17 0 direct
STOCK OPTION (RIGHT TO BUY) 14.63 2021-08-10 deemed execution date M 30,730 (d) 2024-02-21 common stock 30,730 $14.63 0 direct
Footnotes
IDfootnote
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.
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