AES CORP — Director's Dealing 2021

Aug 13, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AES CORP (AES)
CIK: 0000874761
Period of Report: 2021-08-10

Reporting Person: Da Santos Bernerd (EVP and COO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-10	Common Stock	M	21211	$11.17	Acquired	224339	Direct
2021-08-10	Common Stock	M	30730	$14.63	Acquired	255069	Direct
2021-08-10	Common Stock	S	51941	$24.33	Disposed	203128	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-10	Stock Option (Right to Buy)	$11.17	M	21211	Disposed	2023-02-15	Common Stock (21211)	Direct
2021-08-10	Stock Option (Right to Buy)	$14.63	M	30730	Disposed	2024-02-21	Common Stock (30730)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	27842	Indirect

Footnotes

F1: 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.

F2: 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.

F3: 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.

F4: 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.