Gluski Andres's Form 4 filing
AES CorpAES · filed Jan 7, 2022
- Accession no.
- 0001127602-22-001145
- Filed
- Jan 7, 2022
- Trade date
- Jan 5, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $12.5M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gluski AndresCIK 0001348876 | Director, Officer (President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 5, 2022 | Common Stock | MOption exerciseAcquired | +524,511 | $11.17 | +$5,858,787.87 | 1,668,235 | Direct | |
| Jan 5, 2022 | Common Stock | SSaleDisposed | −374,391 | $23.94F2 | −$8,962,920.54 | 1,293,844 | Direct | |
| Jan 5, 2022 | Common Stock | SSaleDisposed | −150,120 | $23.39F4 | −$3,511,306.8 | 1,143,724 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 5, 2022 | Common Stock | MOption exerciseDisposed | −524,511 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
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.
Referenced by the price of 1 transaction in Table I.
- F4
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.
Referenced by the price of 1 transaction in Table I.