0001127602-21-023623.txt : 20210812 0001127602-21-023623.hdr.sgml : 20210812 20210812195344 ACCESSION NUMBER: 0001127602-21-023623 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210810 FILED AS OF DATE: 20210812 DATE AS OF CHANGE: 20210812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Da Santos Bernerd CENTRAL INDEX KEY: 0001626763 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12291 FILM NUMBER: 211169288 MAIL ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AES CORP CENTRAL INDEX KEY: 0000874761 STANDARD INDUSTRIAL CLASSIFICATION: COGENERATION SERVICES & SMALL POWER PRODUCERS [4991] IRS NUMBER: 541163725 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 BUSINESS PHONE: 7035221315 MAIL ADDRESS: STREET 1: 4300 WILSON BOULEVARD CITY: ARLINGTON STATE: VA ZIP: 22203 FORMER COMPANY: FORMER CONFORMED NAME: AES CORPORATION DATE OF NAME CHANGE: 19930328 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2021-08-10 0000874761 AES CORP AES 0001626763 Da Santos Bernerd 4300 WILSON BOULEVARD ARLINGTON VA 22203 1 EVP and COO Common Stock 2021-08-10 4 M 0 21211 11.17 A 224339 D Common Stock 2021-08-10 4 M 0 30730 14.63 A 255069 D Common Stock 2021-08-10 4 S 0 51941 24.33 D 203128 D Common Stock 27842 I by 401(k) Stock Option (Right to Buy) 11.17 2021-08-10 4 M 0 21211 0 D 2023-02-15 Common Stock 21211 0 D Stock Option (Right to Buy) 14.63 2021-08-10 4 M 0 30730 0 D 2024-02-21 Common Stock 30730 0 D 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. 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. 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. 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. /s/ Megan Campbell, attorney-in-fact 2021-08-12