SEC Form 4/A · accession 0001179110-15-000696
NRG ENERGY, INC. · NRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ronald B Stark
Officer — VP, Chief Accounting Officer
Period of report
Jan 2, 2015
Accepted (ET)
Jan 8, 2015 · 5:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001013871
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 per shareF1,F2 | Jan 3, 2015 | F | 889 | — | D | 24,295 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock OptionsF1 | $23.64 | Jan 2, 2015 | M | 5,200 | D | Jan 2, 2012 | Jan 2, 2015 | Common Stock, par value $.01 per share | 5,200 | 0 | D |
Explanation of responses
- F1These transactions were previously reported on that certain Form 4 filed on January 6, 2015 (the "Original Filing"). The Original Filing is being amended to correct (a) the number of Restricted Stock Units in footnote 2 and (b) the number of derivative securities and the title and amount of underlying securities in Table II, columns 5 and 7.
- F2On January 3, 2012, the Reporting Person was issued 2,600 Restricted Stock Units ("RSUs") by NRG under NRG's Long-Term Incentive Plan ("LTIP"). Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01 per share. On January 3, 2015 shares vested. The Reporting Person elected to satisfy his tax withholding obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form is being filed to reflect the surrender of 889 shares of common stock to satisfy the grantee's tax withholding obligation.
- F3The acquisition of 461 shares of common stock reflects the net exercise of the Non-Qualified Stock Options with the remaining shares withheld by the Issuer to cover the exercise price and taxes associated with the automatic exercise.