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
- 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.
- 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.