SEC Form 4 · accession 0001179110-16-031204
NRG ENERGY, INC. · NRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Russell Hill
Officer — Exec Vice Pres, Gen Counsel
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 9:13 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,F3,F4 | Nov 1, 2016 | A | 364 | — | A | 75,448 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units or market stock units, which becomes exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.
- F2Reflects a de minimus adjustment to the number of dividend equivalent rights (DERs) by 5 DERs as a result of rounding fractional shares, resulting in the Reporting Person holding 5983 DERs in the aggregate.
- F3Reflects a de minimus adjustment to the number of shares of NRG common stock by 2 shares as a result of rounding fractional shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan.
- F4Includes 7 shares acquired through a dividend reinvestment feature that has been suspended.