Filing Details

Accession Number:
0001179110-13-017619
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-09 17:10:17
Reporting Period:
2013-12-05
Filing Date:
2013-12-09
Accepted Time:
2013-12-09 17:10:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1013871 Nrg Energy Inc. NRG Electric Services (4911) 411724239
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1272409 W David Crane Nrg Energy, Inc.
211 Carnegie Center
Princeton NJ 08540
President & Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $.01 Per Share Acquisiton 2013-12-05 765,502 $12.02 1,384,815 No 4 M Direct
Common Stock, Par Value $.01 Per Share Disposition 2013-12-05 554,515 $28.10 830,300 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, Par Value $.01 Per Share Non-Qualified Stock Options Acquisiton 2013-12-05 765,502 $0.00 765,502 $12.02
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2004-12-01 2013-12-05 No 4 M Direct
Footnotes
  1. The exercise and sale reported in this Form 4 occurred as a result of the expiration of Non-Qualified Stock Options granted on December 5, 2003 and were effected automatically pursuant to the terms of the Grant Agreement related to the Non-Qualified Stock Options. The deposition of shares reflects shares withheld by the Issuer to cover the exercise price and taxes associated with the automatic exercise and sale.
  2. Pursuant to the Grant Agreement by and between NRG Energy, Inc. and Mr. Crane, the Non-Qualified Stock Options vested and became exercisable as follows: 33 1/3% on December 1, 2004, 33 1/3% on December 1, 2005 and 33 1/3% on December 1, 2006.