SEC Form 4 · accession 0001179110-18-011264

NRG ENERGY, INC. · NRG

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Exec Vice Pres, Operations

Period of report

Sep 6, 2018

Accepted (ET)

Sep 10, 2018 · 8:57 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
Common Stock, par value $.01 per share	Sep 6, 2018	M	10,600	$20.86	A	115,650	D
Common Stock, par value $.01 per share	Sep 6, 2018	M	4,600	$23.87	A	120,250	D
Common Stock, par value $.01 per share^F1	Sep 6, 2018	S	15,200	$35.14	D	105,050	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Non-Qualified Stock Options^F2	$20.86	Sep 6, 2018	M	10,600	D	—	Oct 15, 2020	Common Stock, par value $.01 per share	10,600	6,100	D
Non-Qualified Stock Options^F3	$23.87	Sep 6, 2018	M	4,600	D	—	Jan 4, 2020	Common Stock, par Value $.01 per share	4,600	0	D

F1This transaction was executed in multiple trades at prices ranging from $35.05 to $35.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2Pursuant to the Grant Agreement by and between NRG Energy, Inc. and the reporting person, the Non-Qualified Stock Options vested and became exercisable as follows: 33 1/3% on October 15, 2011, 33 1/3% on October 15, 2012 and 33 1/3% on October 15, 2013.
F3Pursuant to the Grant Agreement by and between NRG Energy, Inc. and the reporting person, the Non-Qualified Stock Options vested and became exercisable as follows: 33 1/3% on January 4, 2011, 33 1/3% on January 4, 2012 and 33 1/3% on January 4, 2013.