Filing Details
- Accession Number:
- 0001179110-14-015570
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-17 16:37:30
- Reporting Period:
- 2014-10-15
- Filing Date:
- 2014-10-17
- Accepted Time:
- 2014-10-17 16:37:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1266171 | W John Ragan | Nrg Energy, Inc. 211 Carnegie Center Princeton NJ 08540 | Evp& Regional Pres Gulf Coast | 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 | 2014-10-15 | 32,000 | $23.64 | 165,014 | No | 4 | M | Direct | |
| Common Stock, Par Value $.01 Per Share | Disposition | 2014-10-15 | 32,000 | $27.04 | 133,014 | 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 | Disposition | 2014-10-15 | 32,000 | $0.00 | 32,000 | $23.64 |
| 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 |
Footnotes
- The transactions were executed pursuant to a prearranged trading plan in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934 adopted by the reporting person on September 15, 2014.
- This transaction was executed in multiple trades at prices ranging from $26.68 to $27.89. 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.
- 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.
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