NRG ENERGY, INC. 4

4 · NRG ENERGY, INC. · Filed Nov 25, 2014

Form 4

Period: 2014-11-21

EVP, Chief Admin Officer

Transactions

Exercise/Conversion
Common Stock, par value $.01 per share
2014-11-21$19.83/sh+33,300$660,339→ 216,135 total
Sale
Common Stock, par value $.01 per share
2014-11-21$31.24/sh−88,700$2,770,988→ 127,435 total
Exercise/Conversion
Non-Qualified Stock Options
2014-11-21−35,100→ 0 total
Exercise: $23.64Exp: 2015-01-02→ Common Stock, par value $.01 per share (35,100 underlying)
Exercise/Conversion
Non-Qualified Stock Option
2014-11-21−20,300→ 0 total
Exercise: $23.87Exp: 2020-01-04→ Common Stock, par value $.01 per share (20,300 underlying)
Exercise/Conversion
Non-Qualified Stock Options
2014-11-21−33,300→ 0 total
Exercise: $19.83Exp: 2021-01-03→ Common Stock, par value $.01 per share (33,300 underlying)
Exercise/Conversion
Common Stock, par value $.01 per share
2014-11-21$23.64/sh+35,100$829,764→ 162,535 total
Exercise/Conversion
Common Stock, par value $.01 per share
2014-11-21$23.87/sh+20,300$484,561→ 182,835 total

Footnotes (5)

[F1]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 November 7, 2014.
[F2]This transaction was executed in multiple trades at prices ranging from $31.10 to $31.45. 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.
[F3]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.
[F4]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 4, 2011, 33 1/3% on January 4, 2012 and 33 1/3% on January 4, 2013.
[F5]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 3, 2012, 33 1/3% on January 3, 2013 and 33 1/3% on January 3, 2014.

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