Filing Details

Accession Number:
0001179110-14-011443
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-03 13:33:47
Reporting Period:
2014-07-01
Filing Date:
2014-07-03
Accepted Time:
2014-07-03 13:33:47
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
1428578 Mauricio Gutierrez Nrg Energy, Inc.
211 Carnegie Center
Princeton NJ 08540
Exec Vp & Chief Operating Ofc No 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 2014-07-01 35,100 $23.64 200,579 No 4 M Direct
Common Stock, Par Value $.01 Per Share Acquisiton 2014-07-01 20,300 $23.87 220,879 No 4 M Direct
Common Stock, Par Value $.01 Per Share Acquisiton 2014-07-01 37,800 $19.83 258,679 No 4 M Direct
Common Stock, Par Value $.01 Per Share Disposition 2014-07-01 93,200 $36.65 165,479 No 4 S Direct
Common Stock, Par Value $.01 Per Share Disposition 2014-07-01 6,918 $36.78 158,561 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S 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 Disposition 2014-07-01 35,100 $0.00 35,100 $23.64
Common Stock, Par Value $.01 Per Share Non-Qualifed Stock Options Disposition 2014-07-01 20,300 $0.00 20,300 $23.87
Common Stock, Par Value $.01 Per Share Non-Qualified Stock Options Disposition 2014-07-01 37,800 $0.00 37,800 $19.83
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2010-01-02 2015-01-02 No 4 M Direct
0 2011-01-04 2020-01-04 No 4 M Direct
0 2012-01-03 2021-01-03 No 4 M Direct
Footnotes
  1. The transactions were executed pursuant to a prearranged trading plan in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934.
  2. This transaction was executed in multiple trades at prices ranging from $36.36 to $36.82. 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.
  3. This transaction was executed in multiple trades at prices ranging from $36.65 to $37.02. 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.
  4. Pursuant 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 2, 2010, 33 1/3% on January 2, 2011 and 33 1/3% on January 2, 2012.
  5. Pursuant 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.
  6. Pursuant 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 3, 2012, 33 1/3% on January 3, 2013 and 33 1/3% on January 3, 2014.