AI assistant
AES CORP — Director's Dealing 2014
Jan 31, 2014
30641_dirs_2014-01-31_d552d071-7808-409e-9e99-334fdaf6925c.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AES CORP (AES)
CIK: 0000874761
Period of Report: 2014-01-30
Reporting Person: miller brian a (EVP, General Counsel and Secy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-30 | Common Stock | M | 12369 | $8.97 | Acquired | 122960 | Direct |
| 2014-01-30 | Common Stock | F | 9649 | $13.95 | Disposed | 113311 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-01-30 | Stock Option (Right to Buy) | $8.97 | M | 12369 | Disposed | 2014-02-04 | Common Stock (12369) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 32711 | Indirect |
Footnotes
F1: Shares related to the option were withheld by the Issuer to satisfy the Reporting Person's exercise price and withholding obligations. The result of this option exercise is a net increase in Common shares held by Mr. Miller of 2,720 shares. There is no transaction in the market.
F2: Between December 26, 2013 and January 29, 2014, the Reporting Person did not acquire any shares of AES Common stock pursuant to The AES Retirement Savings Plan. This information is based on a plan statement dated January 29, 2014.
F3: This option became exercisable in three equal annual installments from grant on February 4, 2004. The option became fully exercisable on February 4, 2007.