Mendoza Tish's Form 4/A amendment
AmendedAES CorpAES · filed Dec 22, 2023
- Accession no.
- 0001127602-23-030375
- Filed
- Dec 22, 2023
- Trade date
- Dec 13, 2023
- Filing delay
- 9 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Dec 14, 2023
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $410.8K. It was filed 9 days after the trade.
This amendment restates part of 0001127602-23-029623 (filed Dec 14, 2023). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Mendoza TishCIK 0001628839 | Officer (EVP & Chief HR Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2023 | Common Stock | SSaleDisposed | −21,678 | $18.95F2 | −$410,798.1 | 167,177 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001127602-23-029623 (filed Dec 14, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2023 | Common Stock | MOption exerciseAcquired | +24,643 | $14.63 | +$360,527.09 | 188,855 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2023 | Common Stock | MOption exerciseDisposed | −24,643 | $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.
- F1
The reporting person's original Form 4 filed on December 14, 2023 inadvertently underreported the number of shares sold in connection with an option exercise and sale of shares on December 13, 2023. This Form 4/A is being filed to correct the error.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.94 to $18.97, 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 range.
Referenced by the price of 1 transaction in Table I.