Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-22-028350
Date:2022-12-28
Issuer: AES CORP (AES)
Original Submission Date:

Reporting Person:

GLUSKI ANDRES
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 2022-12-28 M 748,625 a $11.89 2,034,129 direct
COMMON STOCK 2022-12-28 S 748,625 d $28.43 1,285,504 direct
COMMON STOCK 2022-12-28 0 $0.00 30,429 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) 11.89 2022-12-28 deemed execution date M 748,625 (d) 2025-02-20 common stock 748,625 $11.89 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 june 7, 2022.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $28.17 to $28.92, 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 since the last form 4 filing on march 7, 2022, the reporting person acquired 595 additional shares of aes common stock pursuant to the aes corporation retirement savings plan. the information in this report is based on a plan statement dated december 28, 2022.
f4 this stock option award was granted pursuant to the aes corporation 2003 long term compensation plan and vested in three equal annual installments on february 20, 2016, february 20, 2017 and february 20, 2018.
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