NRG

SEC source: 0001179110-17-011083 · edgar.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,123

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: Reflects a de minimus adjustment to the number of dividend equivalent rights (DERs) by 3 shares as a result of rounding fractional shares, resulting in the Reporting Person holding 1222 DERs in the aggregate.

SEC source: 0001179110-17-008633 · edgar.xml · nonDerivative · entry 1

YOUNG WALTER R JR · CIK 0000905437 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,502

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

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

SEC source: 0001179110-17-008631 · edgar.xml · nonDerivative · entry 1

Wilder John C Jr · CIK 0001629304 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,679

F1 · shares: Represents 14,619 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

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

SEC source: 0001179110-17-008629 · edgar.xml · nonDerivative · entry 1

WEIDEMEYER THOMAS H · CIK 0001227740 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,578

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

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

SEC source: 0001179110-17-008628 · edgar.xml · nonDerivative · entry 1

Smitherman Barry T · CIK 0001698299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,459

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

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

SEC source: 0001179110-17-008627 · edgar.xml · nonDerivative · entry 1

Silverstein Evan Jay · CIK 0001373771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,264

F1 · shares: Represents 8,055 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

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

F3 · balance_after: Includes 1252 dividend equivalent rights.

SEC source: 0001179110-17-008626 · edgar.xml · nonDerivative · entry 1

Schaumburg Anne C · CIK 0001322455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,275

F1 · shares: Represents 7,459 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

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

F3 · balance_after: Includes 1239 dividend equivalent rights.

SEC source: 0001179110-17-008625 · edgar.xml · nonDerivative · entry 1

HOBBY PAUL W · CIK 0001092063 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,075

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

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

SEC source: 0001179110-17-008624 · edgar.xml · nonDerivative · entry 1

Hantke William · CIK 0001354962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,769

F1 · shares: Represents 8,503 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

F2 · price: Each Deferred Stock Unit is equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $.01 per share. The Reporting Person will receive from NRG Energy, Inc. one such share of Common Stock for each Deferred Stock Unit on the following schedule: 25% on June 1, 2017; (ii) 25% on June 1, 2018; (iii) 25% on June 1, 2019; and (iv) 25% on June 1, 2020.

F3 · balance_after: Includes the conversion of 212 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of Deferred Stock Units issued to Reporting Person under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan resulting in the Reporting Person holding 184 DERs in the aggregate.

SEC source: 0001179110-17-008623 · edgar.xml · nonDerivative · entry 1

DALLAS TERRY G · CIK 0001184731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

F1 · shares: Represents 7,459 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

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

F3 · balance_after: Includes 1843 dividend equivalent rights.

SEC source: 0001179110-17-008620 · edgar.xml · nonDerivative · entry 1

COBEN LAWRENCE S · CIK 0001272898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,808

F1 · shares: Represents 12,232 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

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

F3 · balance_after: Includes 1583 dividend equivalent rights.

SEC source: 0001179110-17-008619 · edgar.xml · nonDerivative · entry 1

Caldwell Kirbyjon H · CIK 0001209316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,659

F1 · shares: Represents 7,459 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

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

F3 · balance_after: Includes 1549 dividend equivalent rights.

SEC source: 0001179110-17-008618 · edgar.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,081

F1 · shares: Represents 7,459 Deferred Stock Units issued to the Reporting Person by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan.

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

F3 · balance_after: Includes 1180 dividend equivalent rights.

SEC source: 0001179110-17-006538 · edgar.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,622

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 1180 dividend equivalent rights.

SEC source: 0001179110-17-006550 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,249

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which becomes 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.

F2 · balance_after: Includes 3608 dividend equivalent rights.

SEC source: 0001179110-17-006549 · edgar.xml · nonDerivative · entry 1

Hill David Russell · CIK 0001556467 · Exec Vice Pres, Gen Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,975

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes 3564 dividend equivalent rights.

SEC source: 0001179110-17-006548 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,654

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes 12360 dividend equivalent rights.

SEC source: 0001179110-17-006547 · edgar.xml · nonDerivative · entry 1

Chillemi John V · CIK 0001662532 · Executive VP,Nat'l Bus. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,241

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which becomes 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.

F2 · balance_after: Includes 2550 dividend equivalent rights.

SEC source: 0001179110-17-006546 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,435

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes 1005 dividend equivalent rights.

SEC source: 0001179110-17-006545 · edgar.xml · nonDerivative · entry 1

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,721

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes 4579 dividend equivalent rights.

SEC source: 0001179110-17-006543 · edgar.xml · nonDerivative · entry 1

Schaumburg Anne C · CIK 0001322455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,816

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 1239 dividend equivalent rights.

SEC source: 0001179110-17-006544 · edgar.xml · nonDerivative · entry 1

Silverstein Evan Jay · CIK 0001373771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,209

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 1252 dividend equivalent rights.

SEC source: 0001179110-17-006542 · edgar.xml · nonDerivative · entry 1

Hantke William · CIK 0001354962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,266

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 396 dividend equivalent rights.

SEC source: 0001179110-17-006541 · edgar.xml · nonDerivative · entry 1

DALLAS TERRY G · CIK 0001184731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,041

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 1843 dividend equivalent rights.

SEC source: 0001179110-17-006540 · edgar.xml · nonDerivative · entry 1

COBEN LAWRENCE S · CIK 0001272898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,576

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 1583 dividend equivalent rights.

SEC source: 0001179110-17-006539 · edgar.xml · nonDerivative · entry 1

Caldwell Kirbyjon H · CIK 0001209316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,200

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 1549 dividend equivalent rights.

SEC source: 0001179110-17-004764 · edgar.xml · nonDerivative · entry 4

Wilder John C Jr · CIK 0001629304 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Fottnotes

Disclosed balance after: 9,007,214

F1 · ownership.nature: Represents shares of common stock, $0.01 par value (the "Common Stock") of NRG Energy, Inc., directly beneficially owned by BEP Special Situations 2 LLC. The Reporting Person may be deemed to beneficially own such shares as he is the manager of Bluescape Resources GP Holdings LLC, which is acting as the manager of Bluescape Energy Partners III GP LLC, which is acting as the general partner of Bluescape Energy Recapitalization and Restructuring Fund III LP ("Main Fund"), and Main Fund is acting as a managing member of BEP Special Situations 2 LLC.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.

SEC source: 0001179110-17-004925 · edgar.xml · nonDerivative · entry 1

Smitherman Barry T · CIK 0001698299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $17.73 to $17.75. 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: 0001179110-17-004764 · edgar.xml · nonDerivative · entry 3

Wilder John C Jr · CIK 0001629304 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,549,914

F1 · ownership.nature: Represents shares of common stock, $0.01 par value (the "Common Stock") of NRG Energy, Inc., directly beneficially owned by BEP Special Situations 2 LLC. The Reporting Person may be deemed to beneficially own such shares as he is the manager of Bluescape Resources GP Holdings LLC, which is acting as the manager of Bluescape Energy Partners III GP LLC, which is acting as the general partner of Bluescape Energy Recapitalization and Restructuring Fund III LP ("Main Fund"), and Main Fund is acting as a managing member of BEP Special Situations 2 LLC.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.

SEC source: 0001179110-17-004764 · edgar.xml · nonDerivative · entry 2

Wilder John C Jr · CIK 0001629304 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,949,914

F1 · ownership.nature: Represents shares of common stock, $0.01 par value (the "Common Stock") of NRG Energy, Inc., directly beneficially owned by BEP Special Situations 2 LLC. The Reporting Person may be deemed to beneficially own such shares as he is the manager of Bluescape Resources GP Holdings LLC, which is acting as the manager of Bluescape Energy Partners III GP LLC, which is acting as the general partner of Bluescape Energy Recapitalization and Restructuring Fund III LP ("Main Fund"), and Main Fund is acting as a managing member of BEP Special Situations 2 LLC.

F2 · ownership.nature: The Reporting Person disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.

SEC source: 0001179110-17-004037 · edgar.xml · nonDerivative · entry 1

Smitherman Barry T · CIK 0001698299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,213

SEC source: 0001179110-17-002482 · edgar.xml · nonDerivative · entry 1

Wilder John C Jr · CIK 0001629304 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,060

F1 · price: Mr. Wilder (the "Reporting Person") was issued Deferred Stock Units ("DSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan on February 13, 2017. Each DSU was equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $.01 per share. On February 13, 2017, the Reporting Person received from NRG Energy, Inc. one such share of Common Stock in exchange for each DSU he was issued on that same date.

SEC source: 0001179110-17-002493 · edgar.xml · nonDerivative · entry 1

Smitherman Barry T · CIK 0001698299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,463

F1 · price: Mr. Smitherman was issued Deferred Stock Units ("DSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan on February 13, 2017. Each DSU was equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $.01 per share. On February 13, 2017, Mr. Smitherman received from NRG Energy, Inc. one such share of Common Stock in exchange for each DSU he was issued on that same date.

SEC source: 0001179110-17-001735 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,936

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which becomes 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.

F2 · balance_after: Includes the conversion of 469 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of the Restricted Stock Units issued to Reporting Person under NRG Energy, Inc.'s Long Term Incentive Plan ("LTIP") resulting in the Reporting Person holding 3295 DERs in the aggregate.

SEC source: 0001179110-17-001734 · edgar.xml · nonDerivative · entry 1

Hill David Russell · CIK 0001556467 · Exec Vice Pres, Gen Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,672

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes the conversion of 879 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of the Restricted Stock Units issued to Reporting Person under NRG Energy, Inc.'s Long Term Incentive Plan ("LTIP") resulting in the Reporting Person holding 3261 DERs in the aggregate.

SEC source: 0001179110-17-001733 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,269

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes the conversion of 1153 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of the Restricted Stock Units issued to Reporting Person under NRG Energy, Inc.'s Long Term Incentive Plan ("LTIP") resulting in the Reporting Person holding 10975 DERs in the aggregate.

SEC source: 0001179110-17-001732 · edgar.xml · nonDerivative · entry 1

Chillemi John V · CIK 0001662532 · Executive VP,Nat'l Bus. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,984

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which becomes 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.

F2 · balance_after: Includes the conversion of 390 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of the Restricted Stock Units issued to Reporting Person under NRG Energy, Inc.'s Long Term Incentive Plan ("LTIP") resulting in the Reporting Person holding 2293 DERs in the aggregate.

SEC source: 0001179110-17-001731 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,314

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes the conversion of 280 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of the Restricted Stock Units issued to Reporting Person under NRG Energy, Inc.'s Long Term Incentive Plan ("LTIP") resulting in the Reporting Person holding 884 DERs in the aggregate.

SEC source: 0001179110-17-001730 · edgar.xml · nonDerivative · entry 1

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,333

F1 · price: Represents dividend equivalent rights accrued 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.

F2 · balance_after: Includes the conversion of 1153 dividend equivalent rights ("DERs") in NRG common stock in connection with the vesting of the Restricted Stock Units issued to Reporting Person under NRG Energy, Inc.'s Long Term Incentive Plan ("LTIP") resulting in the Reporting Person holding 4191 DERs in the aggregate.

SEC source: 0001179110-17-001729 · edgar.xml · nonDerivative · entry 1

Silverstein Evan Jay · CIK 0001373771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,162

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 1205 dividend equivalent rights.

SEC source: 0001179110-17-001728 · edgar.xml · nonDerivative · entry 1

Schaumburg Anne C · CIK 0001322455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,776

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 1199 dividend equivalent rights.

SEC source: 0001179110-17-001726 · edgar.xml · nonDerivative · entry 1

Hantke William · CIK 0001354962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,253

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 383 dividend equivalent rights.

SEC source: 0001179110-17-001727 · edgar.xml · nonDerivative · entry 1

MULLER EDWARD R · CIK 0001180211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,302

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 1352 dividend equivalent rights.

SEC source: 0001179110-17-001725 · edgar.xml · nonDerivative · entry 1

DALLAS TERRY G · CIK 0001184731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,980

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 1782 dividend equivalent rights.

SEC source: 0001179110-17-001723 · edgar.xml · nonDerivative · entry 1

COSGROVE HOWARD E · CIK 0001079395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,363

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 2436 dividend equivalent rights.

SEC source: 0001179110-17-001722 · edgar.xml · nonDerivative · entry 1

COBEN LAWRENCE S · CIK 0001272898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,524

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 1531 dividend equivalent rights.

SEC source: 0001179110-17-001720 · edgar.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,578

F1 · price: Represents dividend equivalent rights accrued on the reporting person's deferred stock units, which become exercisable proportionately with the deferred stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

F2 · balance_after: Includes 1136 dividend equivalent rights.

SEC source: 0001179110-17-001721 · edgar.xml · nonDerivative · entry 1

Caldwell Kirbyjon H · CIK 0001209316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,149

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 1498 dividend equivalent rights.

SEC source: 0001179110-17-000560 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,814

Underlying: Common Stock, par value, $.01 per share · 87,628 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 43,814 Relative Performance Stock Units ("RPSUs") by NRG under the LTIP on January 3, 2017. The RPSUs will convert to shares of NRG Common Stock on January 3, 2020 only in the event the Company has achieved a certain level of total shareholder return ("TSR") relative to the Peer Group (defined below) over a three-year performance period. The number of shares of Common Stock that the Reporting Person may receive is interpolated for TSR falling between Threshold, Target, and Maximum levels as described below.

F5 · derivative.underlying_shares: The Reporting Person will receive (i) a maximum of 87,628 shares of Common Stock if the Company's TSR is ranked at or above the 75th percentile relative to a peer group of companies approved by the Company's Compensation Committee (the "Peer Group") for the performance period (the "Maximum"); (ii) 43,814 shares of Common Stock if the Company's TSR is ranked at the 55th percentile relative to the Peer Group for the performance period (the "Target"); provided, however, if TSR is less than negative fifteen percent (-15%), the Company's TSR must be ranked at the 65th percentile relative to the Peer Group for the performance period to receive the Target award; or (iii) 10,953 shares of Common Stock if the Company's TSR is ranked at the 25th percentile relative to the Peer Group for the performance period (the "Threshold"). The Reporting Person will not receive any shares of Common Stock if the Company's TSR is below the 25th percentile relative to the Peer Group for the performance period.

SEC source: 0001179110-17-000560 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,617

F1 · shares: Represents Restricted Stock Units ("RSUs") issued to Reporting Person under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan ("LTIP").

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

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