Statement of Changes in Beneficial Ownership (4)
07 Januar 2022 - 10:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
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APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * Gluski Andres |
2. Issuer Name and Ticker or Trading
Symbol AES CORP [ AES ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
President and CEO |
|
(Last)
(First)
(Middle)
4300 WILSON BOULEVARD |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/5/2022
|
|
(Street)
ARLINGTON, VA 22203
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
1/5/2022 |
|
M |
|
524511 |
A |
$11.17 |
1668235 |
D |
|
|
Common Stock |
1/5/2022 |
|
S(1) |
|
374391 |
D |
$23.94 (2) |
1293844 |
D |
|
|
Common Stock |
1/5/2022 |
|
S(3) |
|
150120 |
D |
$23.39 (4) |
1143724 |
D |
|
|
Common Stock |
|
|
|
|
|
|
|
29262 (5) |
I |
By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Stock Option (Right to Buy) |
$11.17 |
1/5/2022 |
|
M |
|
|
524511 |
(6) |
2/15/2023 |
Common Stock |
524511 |
$0 |
0 |
D |
|
| Explanation of
Responses: |
| (1) |
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. |
| (2) |
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. |
| (3) |
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. |
| (4) |
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. |
| (5) |
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. |
| (6) |
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. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Gluski Andres
4300 WILSON BOULEVARD
ARLINGTON, VA 22203 |
X |
|
President and CEO |
|
Signatures
|
|
/s/ Andres Ricardo Gluski |
|
1/7/2022 |
| **Signature of Reporting
Person |
Date |
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