SEC Form 4 · accession 0001179110-19-003863
NRG ENERGY, INC. · NRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Callen
Officer — SVP, Chief Accounting Offficer
Period of report
Mar 12, 2019
Accepted (ET)
Mar 14, 2019 · 5:05 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 share | Mar 12, 2019 | A | 3,800 | $19.83 | A | 58,130 | D | |
| Common Stock, par value $.01 per share | Mar 12, 2019 | A | 2,800 | $23.87 | A | 60,930 | D | |
| Common Stock, par value, $.01 per share | Mar 12, 2019 | S | 740 | $41.80 | D | 60,190 | D | |
| Common Stock, par value $.01 per shareF1 | Mar 12, 2019 | S | 40,271 | $41.83 | D | 19,919 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $19.83 | Mar 12, 2019 | M | 3,800 | D | Jan 3, 2014 | Jan 3, 2021 | Common Stock, par value $.01 per share | 3,800 | 0 | D |
| Employee Stock Option (right to buy) | $23.87 | Mar 12, 2019 | M | 2,800 | D | Jan 4, 2013 | Jan 4, 2020 | Common Stock, par value $.01 per share | 2,800 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $41.65 to $42.62. 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.