0001179110-13-017619.txt : 20131209 0001179110-13-017619.hdr.sgml : 20131209 20131209171017 ACCESSION NUMBER: 0001179110-13-017619 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131205 FILED AS OF DATE: 20131209 DATE AS OF CHANGE: 20131209 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NRG ENERGY, INC. CENTRAL INDEX KEY: 0001013871 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 411724239 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 211 CARNEGIE CENTER STREET 2: - CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 609-524-4500 MAIL ADDRESS: STREET 1: 211 CARNEGIE CENTER STREET 2: - CITY: PRINCETON STATE: NJ ZIP: 08540 FORMER COMPANY: FORMER CONFORMED NAME: NRG ENERGY INC DATE OF NAME CHANGE: 19960509 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRANE DAVID W CENTRAL INDEX KEY: 0001272409 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15891 FILM NUMBER: 131266263 4 1 edgar.xml FORM 4 - X0306 4 2013-12-05 0 0001013871 NRG ENERGY, INC. NRG 0001272409 CRANE DAVID W NRG ENERGY, INC. 211 CARNEGIE CENTER PRINCETON NJ 08540 1 1 0 0 President & CEO Common Stock, par value $.01 per share 2013-12-05 4 M 0 765502 12.015 A 1384815 D Common Stock, par value $.01 per share 2013-12-05 4 S 0 554515 28.10 D 830300 D Non-Qualified Stock Options 12.015 2013-12-05 4 M 0 765502 0 A 2004-12-01 2013-12-05 Common Stock, par value $.01 per share 765502 0 D 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. /s/ Brian Curci by Power of Attorney 2013-12-09