NRG

SEC source: 0001179110-20-001190 · edgar.xml · nonDerivative · entry 1

Curci Brian · CIK 0001734640 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,483

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 98 dividend equivalent rights.

SEC source: 0001179110-20-001186 · edgar.xml · nonDerivative · entry 1

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,315

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 211 dividend equivalent rights.

SEC source: 0001179110-20-001184 · edgar.xml · nonDerivative · entry 1

Killinger Elizabeth R · CIK 0001662519 · EVP & President, NRG Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,986

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 209 dividend equivalent rights.

SEC source: 0001179110-20-001182 · edgar.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & Chief Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 898,202

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 1,054 dividend equivalent rights.

SEC source: 0001179110-20-001180 · edgar.xml · nonDerivative · entry 1

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,377

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 121 dividend equivalent rights.

SEC source: 0001179110-20-001174 · edgar.xml · nonDerivative · entry 1

Schaumburg Anne C · CIK 0001322455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,150

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 1,770 dividend equivalent rights.

SEC source: 0001179110-20-001178 · edgar.xml · nonDerivative · entry 1

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,922

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 266 dividend equivalent rights.

SEC source: 0001179110-20-001173 · edgar.xml · nonDerivative · entry 1

Pruner Alexandra · CIK 0001759034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,299

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 37 dividend equivalent rights.

SEC source: 0001179110-20-001171 · edgar.xml · nonDerivative · entry 1

DALLAS TERRY G · CIK 0001184731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,461

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 2,691 dividend equivalent rights.

SEC source: 0001179110-20-001169 · edgar.xml · nonDerivative · entry 1

Cox Heather · CIK 0001734706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,054

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 46 dividend equivalent rights.

SEC source: 0001179110-20-001167 · edgar.xml · nonDerivative · entry 1

COBEN LAWRENCE S · CIK 0001272898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,374

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 2,433 dividend equivalent rights.

SEC source: 0001179110-20-001164 · edgar.xml · nonDerivative · entry 1

Carter Matthew Jr · CIK 0001481169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,142

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 169 dividend equivalent rights.

SEC source: 0001179110-20-001161 · edgar.xml · nonDerivative · entry 1

Carrillo Antonio · CIK 0001486776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,278

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 37 dividend equivalent rights.

SEC source: 0001179110-20-001156 · edgar.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,189

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 NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 1,871 dividend equivalent rights.

SEC source: 0001179110-20-000333 · edgar.xml · nonDerivative · entry 11

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,824

F17 · price: This transaction was executed in multiple trades at prices ranging from $37.53 to $38.15. The price reported 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 13, 2019.

SEC source: 0001179110-20-000333 · edgar.xml · nonDerivative · entry 10

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,252

F16 · price: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

SEC source: 0001179110-20-000327 · edgar.xml · nonDerivative · entry 5

Curci Brian · CIK 0001734640 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,775

F12 · price: This transaction was executed in multiple trades at prices ranging from $37.53 to $38.14. The price reported 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

SEC source: 0001179110-20-000391 · edgar.xml · nonDerivative · entry 2

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,285

F3 · price: This transaction was executed in multiple trades at prices ranging from $37.53 to $38.15. The price reported 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 11, 2019.

SEC source: 0001179110-20-000391 · edgar.xml · nonDerivative · entry 1

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,557

F1 · price: On January 6, 2017, Mr. Gaudette was issued 38,618 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 6, 2020, 12,899 shares vested. Mr. Gaudette 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 reflects the surrender of 5,142 shares of common stock to satisfy the grantee's tax withholding obligation.

F2 · balance_after: In connection with the vesting of the RSUs described above, 168 DERs vested, resulting in the reporting person holding 29 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000329 · edgar.xml · derivative · entry 10

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 516 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F14 · derivative.exercise_price: In connection with the vesting of the RPSUs described above, an incremental 516 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F14 · price: In connection with the vesting of the RPSUs described above, an incremental 516 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F14 · derivative.exercise_date: In connection with the vesting of the RPSUs described above, an incremental 516 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000329 · edgar.xml · derivative · entry 9

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 19,740 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: The Reporting Person was issued 19,740 RPSUs by NRG under the LTIP on January 3, 2017 that vested on January 3, 2020. On the vesting date the Reporting Person was entitled to receive a maximum of 39,480 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 19,740 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 4,935 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person would not have received any shares of Common Stock if total shareholder return had decreased by more than 25% since the grant date. The number of shares that the Reporting Person could have received in interpolated for total shareholder return fall between Threshold, Target and Maximum levels. On January 3, 2020 the reporting person vested in 39,480 shares

SEC source: 0001179110-20-000329 · edgar.xml · nonDerivative · entry 7

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,611

F12 · price: On January 3, 2017, the Reporting Person was issued 12,603 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 3, 2020, 4,201 shares vested. The Reporting Person elected to satisfy their 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 reflects the surrender of 1,321 shares of common stock to satisfy the grantee's tax withholding obligation.

F13 · balance_after: In connection with the vesting of the RSUs described above, 55 DERs vested, resulting in the Reporting Person holding 22 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000329 · edgar.xml · nonDerivative · entry 6

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,932

F11 · price: The Reporting Person elected to satisfy their tax withholding obligation upon the exchange of common stock for RPSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 16,763 shares of common stock to satisfy the grantee's tax withholding obligation.

SEC source: 0001179110-20-000329 · edgar.xml · nonDerivative · entry 5

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,695

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F14 · price: In connection with the vesting of the RPSUs described above, an incremental 516 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000329 · edgar.xml · nonDerivative · entry 4

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,179

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · price: The Maximum award that the Reporting Person will receive shall not exceed six (6) times the fair market value of the Target award, determined as of the date of grant.

SEC source: 0001179110-20-000333 · edgar.xml · derivative · entry 15

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 1,147 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F15 · derivative.exercise_price: In connection with the vesting of the RPSUs described above, an incremental 1,147 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F15 · price: In connection with the vesting of the RPSUs described above, an incremental 1,147 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F15 · derivative.exercise_date: In connection with the vesting of the RPSUs described above, an incremental 1,147 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000333 · edgar.xml · derivative · entry 14

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 43,814 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F11 · derivative.exercise_price: The Reporting Person was issued 43,814 RPSUs by NRG under the LTIP on January 3, 2017 that vested on January 3, 2020. On the vesting date the Reporting Person was entitled to receive a maximum of 87,628 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 43,814 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 10,953 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person would not have received any shares of Common Stock if total shareholder return had decreased by more than 25% since the grant date. The number of shares that the Reporting Person could have received in interpolated for total shareholder return fall between Threshold, Target and Maximum levels. On January 3, 2020 the reporting person vested in 87,628 shares.

SEC source: 0001179110-20-000333 · edgar.xml · derivative · entry 13

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 4,500 shares

Expires 2020-01-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-20-000333 · edgar.xml · nonDerivative · entry 9

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,324

F13 · price: On January 3, 2017, the Reporting Person was issued 27,914 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 3, 2020, 9,324 shares vested. The Reporting Person elected to satisfy their 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 reflects the surrender of 2,301 shares of common stock to satisfy the grantee's tax withholding obligation.

F14 · balance_after: In connection with the vesting of the RSUs described above, 122 DERs vested, resulting in the Reporting Person holding 47 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000333 · edgar.xml · nonDerivative · entry 8

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,625

F12 · price: The Reporting Person elected to satisfy their tax withholding obligation upon the exchange of common stock for RPSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 33,801 shares of common stock to satisfy the grantee's tax withholding obligation.

SEC source: 0001179110-20-000333 · edgar.xml · nonDerivative · entry 7

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,426

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F15 · price: In connection with the vesting of the RPSUs described above, an incremental 1,147 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000333 · edgar.xml · nonDerivative · entry 6

Killinger Elizabeth R · CIK 0001662519 · Exec VP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,279

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F11 · price: The Reporting Person was issued 43,814 RPSUs by NRG under the LTIP on January 3, 2017 that vested on January 3, 2020. On the vesting date the Reporting Person was entitled to receive a maximum of 87,628 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 43,814 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 10,953 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person would not have received any shares of Common Stock if total shareholder return had decreased by more than 25% since the grant date. The number of shares that the Reporting Person could have received in interpolated for total shareholder return fall between Threshold, Target and Maximum levels. On January 3, 2020 the reporting person vested in 87,628 shares.

SEC source: 0001179110-20-000335 · edgar.xml · derivative · entry 14

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 654 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F17 · derivative.exercise_price: In connection with the vesting of the RPSUs described above, an incremental 654 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F17 · price: In connection with the vesting of the RPSUs described above, an incremental 654 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F17 · derivative.exercise_date: In connection with the vesting of the RPSUs described above, an incremental 654 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000335 · edgar.xml · derivative · entry 13

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 25,004 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F12 · derivative.exercise_price: The Reporting Person was issued 50,008 RPSUs by NRG under the LTIP on January 3, 2017 that vested on January 3, 2020. On the vesting date the Reporting Person was entitled to receive a maximum of 50,008 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 25,004 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 6,251 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person would not have received any shares of Common Stock if total shareholder return had decreased by more than 25% since the grant date. The number of shares that the Reporting Person could have received in interpolated for total shareholder return fall between Threshold, Target and Maximum levels. On January 3, 2020 the reporting person vested in 50,008 shares

SEC source: 0001179110-20-000335 · edgar.xml · nonDerivative · entry 10

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,699

F16 · price: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2019.

SEC source: 0001179110-20-000335 · edgar.xml · nonDerivative · entry 9

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,691

F14 · price: On January 3, 2017, the Reporting Person was issued 15,963 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 3, 2020, 5,321 shares vested. The Reporting Person elected to satisfy their 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 reflects the surrender of 1,309 shares of common stock to satisfy the grantee's tax withholding obligation.

F15 · balance_after: In connection with the vesting of the RSUs described above, 69 DERs vested, resulting in the Reporting Person holding 197 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000335 · edgar.xml · nonDerivative · entry 8

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,000

F13 · price: The Reporting Person elected to satisfy their tax withholding obligation upon the exchange of common stock for RPSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 17,471 shares of common stock to satisfy the grantee's tax withholding obligation.

SEC source: 0001179110-20-000335 · edgar.xml · nonDerivative · entry 7

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,471

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F17 · price: In connection with the vesting of the RPSUs described above, an incremental 654 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000335 · edgar.xml · nonDerivative · entry 6

Gaudette Robert J · CIK 0001505252 · Senior VP, Business Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,817

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F12 · price: The Reporting Person was issued 50,008 RPSUs by NRG under the LTIP on January 3, 2017 that vested on January 3, 2020. On the vesting date the Reporting Person was entitled to receive a maximum of 50,008 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 25,004 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 6,251 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person would not have received any shares of Common Stock if total shareholder return had decreased by more than 25% since the grant date. The number of shares that the Reporting Person could have received in interpolated for total shareholder return fall between Threshold, Target and Maximum levels. On January 3, 2020 the reporting person vested in 50,008 shares

SEC source: 0001179110-20-000332 · edgar.xml · derivative · entry 10

Gutierrez Mauricio · CIK 0001428578 · Director · President & Chief Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 5,764 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F14 · derivative.exercise_price: In connection with the vesting of the RPSUs described above, an incremental 5,764 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F14 · price: In connection with the vesting of the RPSUs described above, an incremental 5,764 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F14 · derivative.exercise_date: In connection with the vesting of the RPSUs described above, an incremental 5,764 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000332 · edgar.xml · derivative · entry 9

Gutierrez Mauricio · CIK 0001428578 · Director · President & Chief Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 220,140 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: The Reporting Person was issued 220,140 RPSUs by NRG under the LTIP on January 3, 2017 that vested on January 3, 2020. On the vesting date the Reporting Person was entitled to receive a maximum of 440,280 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 220,140 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 55,035 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person would not have received any shares of Common Stock if total shareholder return had decreased by more than 25% since the grant date. The number of shares that the Reporting Person could have received in interpolated for total shareholder return fall between Threshold, Target and Maximum levels. On January 3, 2020 the reporting person vested in 440,280 shares.

SEC source: 0001179110-20-000332 · edgar.xml · nonDerivative · entry 7

Gutierrez Mauricio · CIK 0001428578 · Director · President & Chief Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 897,385

F12 · price: On January 3, 2017, the Reporting Person was issued 140,532 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 3, 2020, 46,844 shares vested. The Reporting Person elected to satisfy their 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 reflects the surrender of 23,373 shares of common stock to satisfy the grantee's tax withholding obligation.

F13 · balance_after: In connection with the vesting of the RSUs described above, 613 DERs vested, resulting in the Reporting Person holding 237 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000332 · edgar.xml · nonDerivative · entry 6

Gutierrez Mauricio · CIK 0001428578 · Director · President & Chief Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 920,758

F11 · price: The Reporting Person elected to satisfy their tax withholding obligation upon the exchange of common stock for RPSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 227,285 shares of common stock to satisfy the grantee's tax withholding obligation.

SEC source: 0001179110-20-000332 · edgar.xml · nonDerivative · entry 5

Gutierrez Mauricio · CIK 0001428578 · Director · President & Chief Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,148,043

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F14 · price: In connection with the vesting of the RPSUs described above, an incremental 5,764 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000332 · edgar.xml · nonDerivative · entry 4

Gutierrez Mauricio · CIK 0001428578 · Director · President & Chief Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,142,279

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · price: The Maximum award that the Reporting Person will receive shall not exceed six (6) times the fair market value of the Target award, determined as of the date of grant.

SEC source: 0001179110-20-000331 · edgar.xml · derivative · entry 10

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 1,460 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F14 · derivative.exercise_price: In connection with the vesting of the RPSUs described above, an incremental 1460 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F14 · price: In connection with the vesting of the RPSUs described above, an incremental 1460 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F14 · derivative.exercise_date: In connection with the vesting of the RPSUs described above, an incremental 1460 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000331 · edgar.xml · derivative · entry 9

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 55,777 shares

Expires 2020-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: The Reporting Person was issued 55,777 RPSUs by NRG under the LTIP on January 3, 2017 that vested on January 3, 2020. On the vesting date the Reporting Person was entitled to receive a maximum of 111,554 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 55,777 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 13,944 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person would not have received any shares of Common Stock if total shareholder return had decreased by more than 25% since the grant date. The number of shares that the Reporting Person could have received in interpolated for total shareholder return fall between Threshold, Target and Maximum levels. On January 3, 2020 the reporting person vested in 111,554 shares.

SEC source: 0001179110-20-000331 · edgar.xml · nonDerivative · entry 7

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,717

F12 · price: On January 3, 2017, the Reporting Person was issued 35,607 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 3, 2020, 11,869 shares vested. The Reporting Person elected to satisfy their 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 reflects the surrender of 4,028 shares of common stock to satisfy the grantee's tax withholding obligation.

F13 · balance_after: In connection with the vesting of the RSUs described above, 155 DERs vested, resulting in the Reporting Person holding 36 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000331 · edgar.xml · nonDerivative · entry 6

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,745

F11 · price: The Reporting Person elected to satisfy their tax withholding obligation upon the exchange of common stock for RPSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 55,011 shares of common stock to satisfy the grantee's tax withholding obligation.

SEC source: 0001179110-20-000331 · edgar.xml · nonDerivative · entry 5

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,756

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F14 · price: In connection with the vesting of the RPSUs described above, an incremental 1460 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.