PLIMPTON FRANK 4
4 · NRG ENERGY, INC. · Filed Dec 23, 2004
Insider Transaction Report
Form 4
NRG ENERGY, INC.NRGEV
PLIMPTON FRANK
Other
Transactions
- Award
Common Stock
2004-03-12+11,294→ 21,527,632 total(indirect: See footnote)
Footnotes (3)
- [F1]Represents Deferred Stock Units issued on March 12, 2004 to Mr. Plimpton by NRG Energy, Inc. under NRG Energy, Inc.'s Long Term Incentive Plan. Each Deferred Stock Unit is equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $0.01. Mr. Plimpton will receive from NRG Energy, Inc. one such share of Common Stock for each Deferred Stock Unit he owns upon termination of his service on NRG Energy, Inc.'s Board of Directors.
- [F2]MatlinPatterson Global Opportunities Partners L.P. (the "Delaware Fund") is the direct beneficial owner of 15,947,947 shares of Common Stock of the Issuer. MatlinPatterson Global Opportunities Partners (Bermuda) L.P. (the "Bermuda Fund" and together with the Delaware Fund, the "Fund") is the direct beneficial owner of 5,557,097 shares of Common Stock of the Issuer. Mr. Plimpton is the direct beneficial owner of 11,294 shares of Common Stock. Pursuant to their limited partnership agreements and other agreements, certain related entities of the Fund, including, but not limited to, MatlinPatterson Global Opportunities Investments LP and MatlinPatterson Global Opportunities Partners (Domestic) LP, have the right, directly or indirectly, to receive distributions of carried interest from the Fund.
- [F3]The reporting person is a limited partner in MatlinPatterson Global Opportunities Partners (Domestic) LP, and, accordingly, may be deemed to have a pecuniary interest in distributions from the Fund that relate indirectly to securities of the Issuer. The reporting person disclaims beneficial ownership of any securities of the Issuer other than 11,294 shares of Common Stock referred to in footnote (2).