SEC Form 4 · accession 0001179110-16-026053
NRG ENERGY, INC. · NRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
William Hantke
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 8:48 pm EDT
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 | Jun 1, 2016 | A | 8,457 | — | A | 55,841 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Hantke was issued Deferred Stock Units by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan on June 1, 2016. Each Deferred Stock Unit was equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $.01 per share. On June 1, 2016, Mr. Hantke received from NRG Energy, Inc. one such share of Common Stock in exchange for each Deferred Stock Unit he was issued on that same date.
- F2Reflects a reduction of 355 dividend equivalent rights ("DERs") that vested in connection with Deferred Stock Units granted in prior years, resulting in the Reporting Person holding 499 DERs in the aggregate.