Filing Details
- Accession Number:
- 0000950103-23-017418
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-12 16:06:51
- Reporting Period:
- 2023-12-08
- Accepted Time:
- 2023-12-12 16:06:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1868941 | Fluence Energy Inc. | FLNC | Cogeneration Services & Small Power Producers (4991) | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 874761 | Aes Corp | 4300 Wilson Boulevard, Suite 1100 Arlington VA 22203 | No | No | Yes | No | |
| 1891368 | Aes Grid Stability, Llc | 4300 Wilson Boulevard, Suite 1100 Arlington VA 22203 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2023-12-08 | 7,087,500 | $0.00 | 7,087,500 | No | 4 | C | Indirect | See footnote |
| Class A Common Stock | Disposition | 2023-12-08 | 7,087,500 | $22.05 | 0 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | LLC Units of Fluence Energy, LLC | Disposition | 2023-12-08 | 7,087,500 | $0.00 | 7,087,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 51,499,195 | No | 4 | C | Indirect |
Footnotes
- On December 8, 2023, AES Grid Stability, LLC ("AES Grid Stability"), a wholly owned, indirect subsidiary of The AES Corporation, exercised its redemption right with respect to 7,087,500 LLC Units of Fluence Energy, LLC ("OpCo Units") together with the corresponding cancellation of 7,087,500 shares of Class B-1 Common Stock of Fluence Energy, Inc. AES Grid Stability exercised such redemption right as a result of AES Grid Stability's and The AES Corporation's determination to sell 7,087,500 shares Class A Common Stock in an underwritten offering.
- The OpCo Units and an equal number of shares of Class B-1 Common Stock, together are exchangeable at the discretion of the holder for, at the Issuer's election, shares of Class A Common Stock on a one-for-one basis or the cash value thereof, subject to certain exceptions, conditions and adjustments, and have no expiration date.
- The OpCo Units are held by AES Grid Stability, LLC, which is a wholly owned subsidiary of The AES Corporation.
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