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AES CORP — Director's Dealing 2010
Nov 16, 2010
30641_dirs_2010-11-16_95010040-2b3d-4ddf-a61b-a1892ba79c74.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AES CORP (AES)
CIK: 0000874761
Period of Report: 2010-11-15
Reporting Person: Harker Victoria D (Executive VP & CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-11-15 | Common Stock | M | 41528 | $6.71 | Acquired | 41528 | Direct |
| 2010-11-15 | Common Stock | S | 9060 | $11.61 | Disposed | 32468 | Direct |
| 2010-11-15 | Common Stock | S | 16770 | $11.60 | Disposed | 15698 | Direct |
| 2010-11-15 | Common Stock | S | 14200 | $11.59 | Disposed | 1498 | Direct |
| 2010-11-15 | Common Stock | S | 1498 | $11.58 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2010-11-15 | Stock Option (Right to Buy) | $6.71 | M | 41528 | Disposed | 2019-02-20 | Common Stock (41528) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 10596 | Indirect |
Footnotes
F1: The option exercise and reported sales were made pursuant to a 10b5-1 trading plan entered into on 11/9/2010.
F2: Since Ms. Harker's last filing submitted on 02/23/2010, she acquired 925 shares of AES Common stock at an average price of $10.98 pursuant to The AES Retirement Savings Plan. This report is based upon a plan statement dated 11/12/2010.
F3: The option vests in three equal installments beginning on 2/20/2010.
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