NRG

SEC source: 0001179110-19-003863 · edgar.xml · nonDerivative · entry 4

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,919

F1 · price: This transaction was executed in multiple trades at prices ranging from $41.65 to $42.62. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-19-003863 · edgar.xml · nonDerivative · entry 3

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,190

SEC source: 0001179110-19-003863 · edgar.xml · nonDerivative · entry 2

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,930

SEC source: 0001179110-19-003863 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,130

SEC source: 0001179110-19-001384 · edgar.xml · nonDerivative · entry 1

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,580

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 1,258 Dividend Equivalent Rights.

SEC source: 0001179110-19-001386 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,875

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 256 Dividend Equivalent Rights.

SEC source: 0001179110-19-001383 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,105

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 2,021 Dividend Equivalent Rights.

SEC source: 0001179110-19-001381 · edgar.xml · nonDerivative · entry 1

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,749

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 2,360 Dividend Equivalent Rights.

SEC source: 0001179110-19-001382 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 676,507

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 10,318 dividend equivalent rights.

SEC source: 0001179110-19-001379 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,330

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 938 Dividend Equivalent Rights.

SEC source: 0001179110-19-001378 · edgar.xml · nonDerivative · entry 1

Curci Brian · CIK 0001734640 · General Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,516

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 102 Dividend Equivalent Rights.

SEC source: 0001179110-19-001377 · edgar.xml · nonDerivative · entry 1

Schaumburg Anne C · CIK 0001322455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,423

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 1,462 dividend equivalent rights.

SEC source: 0001179110-19-001376 · edgar.xml · nonDerivative · entry 1

Hantke William · CIK 0001354962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,266

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 99 dividend equivalent rights.

SEC source: 0001179110-19-001375 · edgar.xml · nonDerivative · entry 1

DALLAS TERRY G · CIK 0001184731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,015

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 2,149 dividend equivalent rights.

SEC source: 0001179110-19-001374 · edgar.xml · nonDerivative · entry 1

Cox Heather · CIK 0001734706 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,094

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 25 Dividend Equivalent Rights.

SEC source: 0001179110-19-001372 · edgar.xml · nonDerivative · entry 1

COBEN LAWRENCE S · CIK 0001272898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,997

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 1,898 dividend equivalent rights.

SEC source: 0001179110-19-001371 · edgar.xml · nonDerivative · entry 1

Carter Matthew Jr · CIK 0001481169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,094

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 25 Dividend Equivalent Rights.

SEC source: 0001179110-19-001370 · edgar.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,543

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 1,423 dividend equivalent rights.

SEC source: 0001179110-19-000695 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,821

F1 · balance_after: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 7, 2018.

SEC source: 0001179110-19-000571 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,392

F1 · price: On January 6, 2017, Mr. Gaudette was issued 38,619 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, 2019, 12,860 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 5,111 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, 128 DERs vested, resulting in the reporting person holding 202 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: 0001179110-19-000539 · edgar.xml · derivative · entry 12

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 1,539 shares

Expires 2019-01-04

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.

F6 · derivative.exercise_price: In connection with the vesting of the MSUs described above, an incremental 1,539 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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 1,539 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.

F6 · derivative.exercise_date: In connection with the vesting of the MSUs described above, an incremental 1,539 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: 0001179110-19-000539 · edgar.xml · derivative · entry 11

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 14,200 shares

Expires 2021-01-03

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.

SEC source: 0001179110-19-000539 · edgar.xml · derivative · entry 10

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 24,906 shares

Expires 2019-01-04

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.

F5 · derivative.exercise_price: The Reporting Person was issued 24,906 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 49,812 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 24,906 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 18,679 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 4, 2019 he vested in 49,812 shares.

SEC source: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 9

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,580

F9 · 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 17, 2018.

F10 · balance_after: Includes 1,196 DERs.

SEC source: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 8

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,951

F8 · price: This transaction was executed in multiple trades at prices ranging from $37.93 to $38.88. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction also reflects the reporting person's sale of shares to cover the exercise price and tax obligation related to the exercise of the employee stock option.

SEC source: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 7

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,876

SEC source: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 6

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,776

SEC source: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 5

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,576

F7 · price: The Reporting Person elected to satisfy his tax withholding obligation upon the exchange of common stock for MSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 21,783 shares of common stock to satisfy the grantee's tax withholding obligation.

F8 · balance_after: This transaction was executed in multiple trades at prices ranging from $37.93 to $38.88. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction also reflects the reporting person's sale of shares to cover the exercise price and tax obligation related to the exercise of the employee stock option.

SEC source: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 4

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,359

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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 1,539 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: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 3

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,820

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.

F5 · price: The Reporting Person was issued 24,906 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 49,812 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 24,906 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 18,679 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 4, 2019 he vested in 49,812 shares.

F6 · balance_after: In connection with the vesting of the MSUs described above, an incremental 1,539 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: 0001179110-19-000539 · edgar.xml · nonDerivative · entry 2

Moser Christopher · CIK 0001726304 · Exec Vice Pres, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,008

F3 · price: On January 4, 2018, Mr. Moser was issued 46,986 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 4, 2019, 15,662 shares vested. Mr. Moser 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 5,852 shares of common stock to satisfy the grantee's tax withholding obligation.

F4 · balance_after: In connection with the vesting of the RSUs described above, 484 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: 0001179110-19-000541 · edgar.xml · derivative · entry 7

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 · 13,454 shares

Expires 2019-01-04

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.

F6 · derivative.exercise_price: In connection with the vesting of the MSUs described above, an incremental 13,454 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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 13,454 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.

F6 · derivative.exercise_date: In connection with the vesting of the MSUs described above, an incremental 13,454 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: 0001179110-19-000541 · edgar.xml · derivative · entry 6

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 · 217,625 shares

Expires 2019-01-04

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.

F5 · derivative.exercise_price: The Reporting Person was issued 217,625 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 435,250 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 217,625 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 163,218 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 4, 2019 he vested in 435,250 shares.

SEC source: 0001179110-19-000541 · edgar.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 676,113

F7 · price: The Reporting Person elected to satisfy his tax withholding obligation upon the exchange of common stock for MSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 229,512 shares of common stock to satisfy the grantee's tax withholding obligation.

F8 · balance_after: Includes 9,924 DERs.

SEC source: 0001179110-19-000541 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 905,625

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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 13,454 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: 0001179110-19-000541 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 892,171

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.

F5 · price: The Reporting Person was issued 217,625 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 435,250 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 217,625 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 163,218 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 4, 2019 he vested in 435,250 shares.

SEC source: 0001179110-19-000541 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,921

F3 · price: On January 4, 2018, Mr. Gutierrez was issued 410,535 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 4, 2019, 136,845 shares vested. Mr. Gutierrez 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 70,985 shares of common stock to satisfy the grantee's tax withholding obligation.

F4 · balance_after: In connection with the vesting of the RSUs described above, 4,230 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: 0001179110-19-000543 · edgar.xml · derivative · entry 7

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 · 2,894 shares

Expires 2019-01-04

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.

F6 · derivative.exercise_price: In connection with the vesting of the MSUs described above, an incremental 2,894 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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 2,894 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.

F6 · derivative.exercise_date: In connection with the vesting of the MSUs described above, an incremental 2,894 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: 0001179110-19-000543 · edgar.xml · derivative · entry 6

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 · 46,824 shares

Expires 2019-01-04

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.

F5 · derivative.exercise_price: The Reporting Person was issued 46,824 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 93,648 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 46,824 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 35,118 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 4, 2019 he vested in 93,648 shares.

SEC source: 0001179110-19-000543 · edgar.xml · nonDerivative · entry 5

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,649

F7 · price: The Reporting Person elected to satisfy his tax withholding obligation upon the exchange of common stock for MSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 47,852 shares of common stock to satisfy the grantee's tax withholding obligation.

F8 · balance_after: Includes 2,260 DERs.

SEC source: 0001179110-19-000543 · edgar.xml · nonDerivative · entry 4

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,501

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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 2,894 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: 0001179110-19-000543 · edgar.xml · nonDerivative · entry 3

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,607

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.

F5 · price: The Reporting Person was issued 46,824 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 93,648 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 46,824 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 35,118 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 4, 2019 he vested in 93,648 shares.

SEC source: 0001179110-19-000543 · edgar.xml · nonDerivative · entry 2

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,959

F3 · price: On January 4, 2018, Mr. Andrews was issued 88,332 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 4, 2019, 29,444 shares vested. Mr. Andrews 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 13,596 shares of common stock to satisfy the grantee's tax withholding obligation.

F4 · balance_after: In connection with the vesting of the RSUs described above, 910 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: 0001179110-19-000542 · edgar.xml · derivative · entry 7

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 · 1,231 shares

Expires 2019-01-04

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.

F6 · derivative.exercise_price: In connection with the vesting of the MSUs described above, an incremental 1,231 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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 1,231 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.

F6 · derivative.exercise_date: In connection with the vesting of the MSUs described above, an incremental 1,231 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: 0001179110-19-000542 · edgar.xml · derivative · entry 6

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 · 19,914 shares

Expires 2019-01-04

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.

F5 · derivative.exercise_price: The Reporting Person was issued 19,914 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 39,828 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 19,914 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 14,935 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 4, 2019 he vested in 39,828 shares.

SEC source: 0001179110-19-000542 · edgar.xml · nonDerivative · entry 5

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,295

F7 · price: The Reporting Person elected to satisfy his tax withholding obligation upon the exchange of common stock for MSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 19,201 shares of common stock to satisfy the grantee's tax withholding obligation.

F8 · balance_after: Includes 903 DERs.

SEC source: 0001179110-19-000542 · edgar.xml · nonDerivative · entry 4

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,496

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.

F6 · price: In connection with the vesting of the MSUs described above, an incremental 1,231 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: 0001179110-19-000542 · edgar.xml · nonDerivative · entry 3

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,265

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.

F5 · price: The Reporting Person was issued 19,914 Market Stock Units by NRG under the LTIP on January 4, 2016 that vested on January 4, 2019. On the vesting date the Reporting Person was entitled to receive a maximum of 39,828 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 19,914 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 14,935 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 4, 2019 he vested in 39,828 shares.

SEC source: 0001179110-19-000542 · edgar.xml · nonDerivative · entry 2

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,437

F3 · price: On January 4, 2018, Mr. Callen was issued 37,566 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 4, 2019, 12,522 shares vested. Mr. Callen 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 4,232 shares of common stock to satisfy the grantee's tax withholding obligation.

F4 · balance_after: In connection with the vesting of the RSUs described above, 387 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: 0001179110-19-000540 · edgar.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 9,922 shares

Expires 2021-01-03

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.