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Filing Details

Accession Number:: 0001179110-17-000429
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-01-04 21:04:24
Reporting Period:: 2012-11-15

Filing Date:: 2017-01-04
Accepted Time:: 2017-01-04 21:04:24
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
1529284	B Kirkland Andrews	804 Carnegie Center Princeton NJ 08540	Evp & Cfo	No	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	2012-11-15	98	$19.70	200,774	No	4	P	Direct
Common Stock, Par Value, $.01 Per Sahre	Acquisiton	2013-02-15	82	$24.02	200,856	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-05-15	94	$27.82	200,950	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-08-15	102	$26.27	201,052	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2013-11-15	189	$26.98	201,241	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-02-18	179	$28.88	201,420	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-05-15	180	$33.58	201,600	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-08-15	209	$29.14	201,809	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2014-11-18	289	$31.91	202,098	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-02-18	611	$25.61	202,709	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-05-18	608	$25.88	203,317	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-08-18	753	$20.99	204,070	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2015-11-17	1,273	$12.51	205,343	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2016-02-17	1,588	$10.14	206,931	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2016-05-17	213	$15.83	207,144	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Acquisiton	2016-08-16	266	$12.69	207,410	No	4	P	Direct
Common Stock, Par Value, $.01 Per Share	Disposition	2017-01-02	5,813	$0.00	200,403	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	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 Options	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

The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.
On January 2, 2014 Mr. Andrews 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. Andrews 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 4,949 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 7 shares as a result of rounding fractional shares acquired dividend reinvestment feature in a brokerage account that has been suspended.
Includes 617 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.
Mr. Andrews 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. Andrews may receive is interpolated for total shareholder return falling between Threshold, Target, and Maximum levels. On January 2, 2017, Mr. Andrews did not receive any shares.