SEC Form 4 · accession 0001179110-17-002493
NRG ENERGY, INC. · NRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry T Smitherman
Director
Period of report
Feb 13, 2017
Accepted (ET)
Feb 16, 2017 · 9:21 am 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 | Feb 13, 2017 | A | 7,463 | — | A | 7,463 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Smitherman was issued Deferred Stock Units ("DSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan on February 13, 2017. Each DSU was equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $.01 per share. On February 13, 2017, Mr. Smitherman received from NRG Energy, Inc. one such share of Common Stock in exchange for each DSU he was issued on that same date.