CWEN

SEC source: 0001179110-17-014938 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,062

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units ("RSUs") and Relative Performance Stock Units ("RPSUs"), which become exercisable proportionately with the RSUs and RPSUs to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc. as determined by the RSU or RPSU to which they relate.

F2 · balance_after: Includes 11,150 dividend equivalent rights that may only be settled in Class C Common Stock. There has been a de minimus adjustment of 3 shares to the number of dividend equivalent rights as a result of rounding fractional shares.

SEC source: 0001179110-17-012093 · edgar.xml · nonDerivative · entry 2

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,578

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 4,108 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-012093 · edgar.xml · nonDerivative · entry 1

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,959

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 1,866 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-012088 · edgar.xml · nonDerivative · entry 1

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,126

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units ("RSUs") and Relative Performance Stock Units ("RPSUs"), which become exercisable proportionately with the RSUs and RPSUs to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc. as determined by the RSU or RPSU to which they relate.

F2 · balance_after: Includes 1460 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-012092 · edgar.xml · nonDerivative · entry 2

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,288

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 2,052 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-012092 · edgar.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,479

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 932 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-012091 · edgar.xml · nonDerivative · entry 2

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,676

F1 · price: Represents dividend equivalent rights accrued on the reporting person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in the Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Unit to which they relate.

F3 · balance_after: Includes 4,308 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-012091 · edgar.xml · nonDerivative · entry 1

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,295

F1 · price: Represents dividend equivalent rights accrued on the reporting person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in the Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Unit to which they relate.

F2 · balance_after: Includes 2,094 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-012086 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,805

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units ("RSUs") and Relative Performance Stock Units ("RPSUs"), which become exercisable proportionately with the RSUs and RPSUs to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc. as determined by the RSU or RPSU to which they relate.

F2 · balance_after: Includes 8893 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-008641 · edgar.xml · nonDerivative · entry 3

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,980

F3 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F5 · balance_after: Includes 3,510 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-008641 · edgar.xml · nonDerivative · entry 2

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,796

F3 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F4 · balance_after: Includes 1,703 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-008641 · edgar.xml · nonDerivative · entry 1

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,390

F1 · shares: Represents 9,723 Deferred Stock Units issued to the Reporting Person by NRG Yield, Inc. under NRG Yield, Inc.'s Amended and Restated Equity Incentive Plan.

F2 · price: Each Deferred Stock Unit is equivalent in value to one share of NRG Yield, Inc.'s Class C Common Stock, par value $.01 per share. The Reporting Person will receive from NRG Yield, Inc. one such share of Class C Common Stock for each Deferred Stock Unit he/she owns upon termination of his/her service on NRG Yield, Inc.'s Board of Directors.

SEC source: 0001179110-17-008643 · edgar.xml · nonDerivative · entry 1

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,689

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units ("RSUs") and Relative Performance Stock Units ("RPSUs"), which become exercisable proportionately with the RSUs and RPSUs to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc. as determined by the RSU or RPSU to which they relate.

F2 · balance_after: Includes 1023 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-008640 · edgar.xml · nonDerivative · entry 3

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,989

F3 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F5 · balance_after: Includes 1,753 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-008640 · edgar.xml · nonDerivative · entry 2

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,397

F3 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F4 · balance_after: Includes 850 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-008640 · edgar.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,694

F1 · shares: Represents 4,862 Deferred Stock Units issued to the Reporting Person by NRG Yield, Inc. under NRG Yield, Inc.'s Amended and Restated Equity Incentive Plan.

F2 · price: Each Deferred Stock Unit is equivalent in value to one share of NRG Yield, Inc.'s Class C Common Stock, par value $.01 per share. The Reporting Person will receive from NRG Yield, Inc. one such share of Class C Common Stock for each Deferred Stock Unit he/she owns upon termination of his/her service on NRG Yield, Inc.'s Board of Directors. The dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units which they have received. Each dividend equivalent right is the economic equivalent of one share of the Class C Common Stock of NRG Yield, Inc.

SEC source: 0001179110-17-008639 · edgar.xml · nonDerivative · entry 3

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,171

F2 · price: Represents dividend equivalent rights accrued on the reporting person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in the Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Unit to which they relate.

F4 · balance_after: Includes 3,803 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-008639 · edgar.xml · nonDerivative · entry 2

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,112

F2 · price: Represents dividend equivalent rights accrued on the reporting person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in the Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Unit to which they relate.

F3 · balance_after: Includes 1,911 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-008639 · edgar.xml · nonDerivative · entry 1

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,673

F1 · shares: Mr. Chlebowski was issued Deferred Stock Units by NRG Yield, Inc. under NRG Yield, Inc.'s Amended and Restated Equity Incentive Plan on June 1, 2017. Each Deferred Stock Unit was equivalent in value to one share of NRG Yield, Inc.'s Class C Common Stock, par value $.01 per share. On June 1, 2017, Mr. Chlebowski received from NRG Yield, Inc. one such share of Common Stock in exchange for each Deferred Stock Unit he was issued on that same date.

F1 · price: Mr. Chlebowski was issued Deferred Stock Units by NRG Yield, Inc. under NRG Yield, Inc.'s Amended and Restated Equity Incentive Plan on June 1, 2017. Each Deferred Stock Unit was equivalent in value to one share of NRG Yield, Inc.'s Class C Common Stock, par value $.01 per share. On June 1, 2017, Mr. Chlebowski received from NRG Yield, Inc. one such share of Common Stock in exchange for each Deferred Stock Unit he was issued on that same date.

SEC source: 0001179110-17-008642 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,594

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units ("RSUs") and Relative Performance Stock Units ("RPSUs"), which become exercisable proportionately with the RSUs and RPSUs to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc. as determined by the RSU or RPSU to which they relate.

F2 · balance_after: Includes 6682 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-003900 · edgar.xml · nonDerivative · entry 2

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,667

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 2,920 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-003900 · edgar.xml · nonDerivative · entry 1

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,634

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 1,541 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-003898 · edgar.xml · nonDerivative · entry 1

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,258

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units ("RSUs") and Relative Performance Stock Units ("RPSUs"), which become exercisable proportionately with the RSUs and RPSUs to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc. as determined by the RSU or RPSU to which they relate.

F2 · balance_after: Includes 592 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-003902 · edgar.xml · nonDerivative · entry 2

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,832

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 1,458 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-003902 · edgar.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,316

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 769 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-003901 · edgar.xml · nonDerivative · entry 2

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,256

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 3,305 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-003901 · edgar.xml · nonDerivative · entry 1

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,930

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 1,729 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-17-003899 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,412

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units ("RSUs") and Relative Performance Stock Units ("RPSUs"), which become exercisable proportionately with the RSUs and RPSUs to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc. as determined by the RSU or RPSU to which they relate.

F2 · balance_after: Includes 4500 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-17-000678 · edgar.xml · nonDerivative · entry 1

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,829

F1 · price: On November 7, 2016, Mr. Plotkin was issued 16,903 Restricted Stock Units ("RSUs") by NRG Yield, Inc. under NRG Yield, Inc.'s Equity Incentive Plan that vest as follows: (1) 7,099 shares on January 4, 2017, (2) 5,578 shares on January 4, 2018, and (3) 4,226 shares on January 4, 2019. Each RSU is equivalent in value to one share of Class C Common Stock of NRG Yield, Inc., par value $.01 per share. On January 4, 2017, 7,099 shares vested. Mr. Plotkin 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 3,920 shares of Class C Common Stock to satisfy the grantee's tax withholding obligation.

F2 · balance_after: In connection with the vesting of the RSUs described above, 117 dividend equivalent rights converted to Class C Common Stock, resulting in the reporting person holding163 dividend equivalent rights that may only be settled in Class C Common Stock. Dividend equivalent rights accrue on the reporting person's restricted stock units, which become exercisable proportionately with the restricted stock units to which they relate and may only be settled in NRG Yield, Inc. Class C Common Stock. Each dividend equivalent right is the economic equivalent of one share of NRG Yield, Inc. Class C Common Stock.

SEC source: 0001179110-17-000564 · edgar.xml · derivative · entry 2

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,025

Underlying: Class C Common Stock, par value $.01 per share · 22,050 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 11,025 Relative Performance Stock Units ("RPSUs") by NRG Yield, Inc. under the LTIP on January 3, 2017. The RPSUs will convert to shares of NRG Yield, Inc. Class C Common Stock on January 3, 2020 only in the event the Company has achieved a certain level of total shareholder return ("TSR") relative to the Peer Group (defined below) over a three-year performance period. The number of shares of Common Stock that the Reporting Person may receive is interpolated for TSR falling between Threshold, Target, and Maximum levels as described below.

F5 · derivative.underlying_shares: Reporting Person will receive (i) a maximum of 22,050 shares of Class C Common Stock if Company's TSR is ranked at or above the 75th percentile relative to a peer group of companies approved by the Company's Compensation Committee (the "Peer Group") for the performance period (the "Maximum"); (ii) 11,025 shares of Class C Common Stock if Company's TSR is ranked at the 50th percentile relative to the Peer Group for the performance period (the "Target"); provided, however, if TSR is less than negative twenty percent (-20%), the Company's TSR must be ranked at the 60th percentile relative to the Peer Group for the performance period to receive the Target award; or (iii) 2,756 shares of Common Stock if Company's TSR is ranked at the 25th percentile relative to the Peer Group for the performance period (the "Threshold"). The Reporting Person will not receive any shares of Common Stock if Company's TSR is below the 25th percentile relative to the Peer Group for the performance period.

SEC source: 0001179110-17-000564 · edgar.xml · nonDerivative · entry 1

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,749

F1 · shares: Represents Restricted Stock Units ("RSUs") issued to Reporting Person under NRG Yield, Inc.'s 2013 Equity Incentive Plan ("LTIP").

F2 · price: Each RSU is equivalent in value to one share of NRG Yield, Inc.'s Class C Common Stock, par value $.01 per share.

F3 · balance_after: The Reporting Person will receive from NRG Yield, Inc. one such share of Class C Common Stock for each RSU that will vest ratably over a three year period beginning on the first anniversary of the date of grant.

SEC source: 0001179110-17-000563 · edgar.xml · derivative · entry 2

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,375

Underlying: Class C Common Stock, par value $.01 per share · 78,750 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 39,375 Relative Performance Stock Units ("RPSUs") by NRG Yield, Inc. under the LTIP on January 3, 2017. The RPSUs will convert to shares of NRG Yield, Inc. Class C Common Stock on January 3, 2020 only in the event the Company has achieved a certain level of total shareholder return ("TSR") relative to the Peer Group (defined below) over a three-year performance period. The number of shares of Common Stock that the Reporting Person may receive is interpolated for TSR falling between Threshold, Target, and Maximum levels as described below.

F5 · derivative.underlying_shares: Reporting Person will receive (i) a maximum of 78,750 shares of Class C Common Stock if Company's TSR is ranked at or above the 75th percentile relative to a peer group of companies approved by the Company's Compensation Committee (the "Peer Group") for the performance period (the "Maximum"); (ii) 39,750 shares of Class C Common Stock if Company's TSR is ranked at the 50th percentile relative to the Peer Group for the performance period (the "Target"); provided, however, if TSR is less than negative twenty percent (-20%), the Company's TSR must be ranked at the 60th percentile relative to the Peer Group for the performance period to receive the Target award; or (iii) 4,935 shares of Common Stock if Company's TSR is ranked at the 25th percentile relative to the Peer Group for the performance period (the "Threshold"). The Reporting Person will not receive any shares of Common Stock if Company's TSR is below the 25th percentile relative to the Peer Group for the performance period.

SEC source: 0001179110-17-000563 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,239

F1 · shares: Represents Restricted Stock Units ("RSUs") issued to Reporting Person under NRG Yield, Inc.'s 2013 Equity Incentive Plan ("LTIP").

F2 · price: Each RSU is equivalent in value to one share of NRG Yield, Inc.'s Class C Common Stock, par value $.01 per share.

F3 · balance_after: The Reporting Person will receive from NRG Yield, Inc. one such share of Class C Common Stock for each RSU that will vest ratably over a three year period beginning on the first anniversary of the date of grant.

SEC source: 0001179110-17-000422 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,965

F1 · price: On August 8, 2016, Mr. Sotos was issued 80,192 Restricted Stock Units ("RSUs") by NRG Yield, Inc. under NRG Yield, Inc.'s Equity Incentive Plan that vest as follows: (1) 4,812 shares on January 2, 2017, (2) 8,821 shares on January 2, 2018, and (3) 66,559 shares on January 2, 2019. Each RSU is equivalent in value to one share of Class C Common Stock of NRG Yield, Inc., par value $.01. On January 2, 2017, 4,812 shares vested. Mr. Sotos 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 2,702 shares of Class C Common Stock to satisfy the grantee's tax withholding obligation.

F2 · balance_after: In connection with the vesting of the RSUs described above, 148 DERs converted to Class C Common Stock, resulting in the reporting person holding 2,327 dividend equivalent rights that may only be settled in Class C Common Stock. 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 Yield, Inc. Class C Common Stock. Each dividend equivalent right is the economic equivalent of one share of NRG Yield, Inc. Class C Common Stock.

SEC source: 0001179110-16-032379 · edgar.xml · nonDerivative · entry 2

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,224

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 2477 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-16-032379 · edgar.xml · nonDerivative · entry 1

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,471

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 1378 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-16-032380 · edgar.xml · nonDerivative · entry 1

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,392

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units, which become exercisable proportionately with the Restricted Stock Units to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc.

F2 · balance_after: Includes 280 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-16-032378 · edgar.xml · nonDerivative · entry 2

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,611

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 1237 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-16-032378 · edgar.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,235

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 688 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-16-032377 · edgar.xml · nonDerivative · entry 2

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,760

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 2809 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-16-032377 · edgar.xml · nonDerivative · entry 1

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,747

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 1546 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-16-032382 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,667

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Restricted Stock Units, which become exercisable proportionately with the Restricted Stock Units to which they relate and may only be settled in Class C Common Stock of NRG Yield, Inc.

F2 · balance_after: Includes 2475 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-16-031385 · edgar.xml · nonDerivative · entry 2

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,747

F3 · price: This transaction was executed in multiple trades at prices ranging from $15.6105 to $15.6456. The price reported above reflects the weighted average purchase 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.

SEC source: 0001179110-16-031386 · edgar.xml · nonDerivative · entry 1

Sotos Christopher S · CIK 0001578991 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,400

F1 · price: This transaction was executed in multiple trades at prices ranging from $15.64 to $15.6925. The price reported above reflects the weighted average purchase 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.

SEC source: 0001179110-16-031385 · edgar.xml · nonDerivative · entry 1

Plotkin Chad · CIK 0001685648 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,112

F1 · shares: Represents Restricted Stock Units issued to Mr. Plotkin under NRG Yield, Inc.'s Equity Incentive Plan.

F2 · price: Each Restricted Stock Unit is equivalent in value to one share of Class C Common Stock of NRG Yield, Inc., par value $.01. Mr. Plotkin will receive from NRG Yield, Inc. one such share of Class C Common Stock as follows: (1) 7099 shares on January 4, 2017, (2) 5578 shares on January 4, 2018, and (3) 4226 shares on January 4, 2019.

SEC source: 0001179110-16-029361 · edgar.xml · nonDerivative · entry 2

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,747

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 2000 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-16-029361 · edgar.xml · nonDerivative · entry 1

MCCLEAN FERRELL P · CIK 0001168551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,292

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 1199 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-16-029362 · edgar.xml · nonDerivative · entry 2

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,373

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 999 dividend equivalent rights that may only be settled in Class C Common Stock.

SEC source: 0001179110-16-029362 · edgar.xml · nonDerivative · entry 1

Ford Brian R. · CIK 0001458874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,146

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F2 · balance_after: Includes 599 dividend equivalent rights that may only be settled in Class A Common Stock.

SEC source: 0001179110-16-029360 · edgar.xml · nonDerivative · entry 2

CHLEBOWSKI JOHN · CIK 0001258789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,225

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's Deferred Stock Units, which become exercisable proportionately with the Deferred Stock Units to which they relate and may only be settled in Class A or Class C Common Stock of NRG Yield, Inc. as determined by the Deferred Stock Units to which they relate.

F3 · balance_after: Includes 2274 dividend equivalent rights that may only be settled in Class C Common Stock.