SEC Form 4 · accession 0001179110-17-008624
NRG ENERGY, INC. · NRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Hantke
Director
Period of report
Jun 1, 2017
Accepted (ET)
Jun 5, 2017 · 7:39 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 | Jun 1, 2017 | A | 8,503 | — | A | 64,769 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 8,503 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.
- F2Each Deferred Stock Unit is equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $.01 per share. The Reporting Person will receive from NRG Energy, Inc. one such share of Common Stock for each Deferred Stock Unit on the following schedule: 25% on June 1, 2017; (ii) 25% on June 1, 2018; (iii) 25% on June 1, 2019; and (iv) 25% on June 1, 2020.
- F3Includes the conversion of 212 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of Deferred Stock Units issued to Reporting Person under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan resulting in the Reporting Person holding 184 DERs in the aggregate.