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Filing Details

Accession Number:: 0001179110-17-000432
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-01-04 21:08:52
Reporting Period:: 2012-08-15

Filing Date:: 2017-01-04
Accepted Time:: 2017-01-04 21:08:52
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. 804 Carnegie Center Princeton NJ 08540	President & Chief Exec Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, Par Value, $.01 Per Share	Acquisiton	2012-08-15	29	$20.92	316,371	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2012-08-31	39	$20.72	316,410	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2012-11-15	30	$19.70	316,440	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2012-11-15	42	$19.55	316,482	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-02-15	45	$24.02	316,527	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-02-15	34	$24.13	316,561	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-05-15	40	$27.55	316,601	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-05-15	52	$27.82	316,653	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-08-15	55	$26.27	316,708	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-08-15	43	$25.92	316,751	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-11-15	54	$26.98	316,805	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-11-15	41	$27.11	316,846	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-02-14	40	$28.51	316,886	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-02-18	153	$28.88	317,039	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-05-15	40	$33.89	317,079	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-05-15	154	$33.58	317,233	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-11-18	122	$31.91	317,355	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-02-18	381	$25.61	317,736	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-05-18	380	$25.88	318,116	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-08-18	471	$20.99	318,587	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-11-17	796	$12.51	319,383	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2016-02-17	993	$10.14	320,376	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2016-05-17	132	$15.83	320,508	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2016-08-16	166	$12.69	320,674	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Disposition	2017-01-02	5,813	$0.00	313,608	No	4	F	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	F	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock, Par Value, $.01 Per Share	Market Stock Units	Disposition	2017-01-02	26,263	$0.00	52,526	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2017-01-02	2017-01-02	No	4	M	Direct

Footnotes

All the purchases were pursuant to dividend reinvestment feature in a brokerage account that has been suspended.
On January 2, 2014, Mr. Gutierrez was issued 14,415 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG's Long Term Incentive Plan ("LTIP"). Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 2, 2017, 14,415 shares vested. Mr. Gutierrez elected to satisfy his tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form is being filed to reflect the surrender of 5,813 shares of common stock to satisfy the grantee's tax withholding obligation.
Reflects a reduction of 1,818 dividend equivalent rights ("DERs") that were forfeited upon the vesting of the Market Stock Units described in Table II. In addition, 997 DERs converted in NRG common stock in connection with the vesting of the RSUs described above. Following these transactions, the reporting person holds 10,718 DERs in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units or market stock units, which become exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock. Reflects a de minimus adjustment to the number of shares of NRG common stock by 26 shares as a result of rounding fractional shares acquired dividend reinvestment feature in a brokerage account that has been suspended.
Includes 539 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.
Mr. Gutierrez was issued 26,263 Market Stock Units ("MSUs") by NRG under the LTIP on January 2, 2014 that vested on January 2, 2017. On the vesting date, he was entitled to receive a maximum of 52,526 shares of Common Stock if the Company has achieved a 100% increase in total shareholder return since the grant date (the "Maximum"); 26,263 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target"), or 19,697 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The number of shares of Common Stock that Mr. Gutierrez may receive is interpolated for total shareholder return falling between Threshold, Target, and Maximum levels. On January 2, 2017, Mr. Gutierrez did not receive any shares.