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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jacobs Christine A NRG ENERGY, INC. 211 CARNEGIE CENTER PRINCETON, NJ 08540 |
Sr.Vice Pres, Plant Operations |
Christine Jacobs | 09/12/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On May 2, 2007, NRG Energy, Inc. announced a 2-for-1 stock split, in the form of a stock dividend paid on May 31, 2007 to all holders of record of Common Stock on May 22, 2007. The Company's Common Stock began trading on a split-adjusted basis on June 1, 2007. |
(2) | On September 7, 2004, Ms. Jacobs was issued 5,000 Restricted Stock Units ("RSU's") by NRG Energy, Inc. pursuant to the Restricted Stock Unit Agreement by and between NRG Energy, Inc. and Ms. Jacobs. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $0.01. On September 7, 2007 the RSU's became unrestricted. Ms. Jacobs elected to satisfy her tax withholding obligation upon the exchange of common stock for RSU's by surrendering a number of shares of common stock having a value on the date of the exchange equal to the tax withholding obligation. This form in being filed to reflect the surrender of 2,952 shares of common stock to satisfy her tax withholding obligation. |