NRG

SEC source: 0001179110-17-000559 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,797

Underlying: Common Stock, par value, $.01 per share · 87,594 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 43,797 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 87,594 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) 43,797 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) 10,949 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: 0001179110-17-000559 · 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: 97,364

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.

SEC source: 0001179110-17-000558 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,140

Underlying: Common Stock, par value, $.01 per share · 440,280 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 220,140 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 440,280 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) 220,140 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) 55,035 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: 0001179110-17-000558 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 453,859

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.

SEC source: 0001179110-17-000557 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,207

Underlying: Common Stock, par value $.01 per share · 82,414 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 41,207 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 82,414 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) 41,207 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) 10,301 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: 0001179110-17-000557 · 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: 68,722

F1 · shares: Represents Restricted Stock Units issued to Reporting Person under NRG Energy, Inc. 2010 Stock Plan for GenOn Employees ("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.

SEC source: 0001179110-17-000556 · edgar.xml · derivative · entry 2

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,740

Underlying: Common Stock,par value $.01 per share · 39,480 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 19,740 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 39,480 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) 19,740 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) 4,935 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: 0001179110-17-000556 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,191

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.

SEC source: 0001179110-17-000555 · edgar.xml · derivative · entry 2

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,777

Underlying: Common Stock, par value $.01 per share · 111,554 shares

Expires 2020-01-03

F4 · derivative.exercise_price: The Reporting Person was issued 55,777 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 111,554 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) 55,777 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) 13,944 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: 0001179110-17-000555 · edgar.xml · nonDerivative · entry 1

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,938

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.

SEC source: 0001179110-17-000434 · edgar.xml · derivative · entry 5

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 · 22,088 shares

Expires 2017-01-02

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: Ms. Killinger was issued 11,044 Market Stock Units ("MSUs") by NRG under the LTIP on January 2, 2014 that vested on January 2, 2017. On the vesting date, she was entitled to receive a maximum of 22,088 shares of Common Stock if the Company has achieved a 100% increase in total shareholder return since the grant date (the "Maximum"); 11,044 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target"), or 8,283 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The number of shares of Common Stock that Ms. Killinger may receive is interpolated for total shareholder return falling between Threshold, Target, and Maximum levels. On January 2, 2017, Ms. Killinger did not receive any shares.

SEC source: 0001179110-17-000434 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,703

F2 · price: On January 2, 2014, Ms. Killinger was issued 6,062 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG's Long Term Incentive Plan ("LTIP"). Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 2, 2017, 6,062 shares vested. Ms. Killinger elected to satisfy her tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form is being filed to reflect the surrender of 3,062 shares of common stock to satisfy the grantee's tax withholding obligation.

F3 · balance_after: Reflects a reduction of 764 dividend equivalent rights ("DERs") that were forfeited upon the vesting of the Market Stock Units described in Table II. In addition, 419 DERs converted in NRG common stock in connection with the vesting of the RSUs described above. Following these transactions, the reporting person holds 3,445 DERs in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units or market stock units, which become exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.Reflects a de minimus adjustment to the number of shares of common stock by 1 share as a result of rounding fractional shares acquired under the dividend reinvestment feature in a brokerage account that has been suspended.

F4 · balance_after: Includes 244 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001179110-17-000433 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value, $.01 per share · 40,142 shares

Expires 2017-01-02

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.

F3 · derivative.exercise_price: Mr. Hill was issued 20,071 Market Stock Units ("MSUs") by NRG under the LTIP on January 2, 2014 that vested on January 2, 2017. On the vesting date, he was entitled to receive a maximum of 40,142 shares of Common Stock if the Company has achieved a 100% increase in total shareholder return since the grant date (the "Maximum"); 20,071 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target"), or 15,053 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The number of shares of Common Stock that Mr. Hill may receive is interpolated for total shareholder return falling between Threshold, Target, and Maximum levels. On January 2, 2017, Mr. Hill did not receive any shares.

SEC source: 0001179110-17-000433 · 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: 69,461

F1 · price: On January 2, 2014 Mr. Hill was issued 11,017 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG's Long Term Incentive Plan ("LTIP"). Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 2, 2017, 11,017 shares vested. Mr. Hill elected to satisfy his tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form is being filed to reflect the surrender of 4,598 shares of common stock to satisfy the grantee's tax withholding obligation.

F2 · balance_after: Reflects a reduction of 1,389 dividend equivalent rights ("DERs") that were forfeited upon the vesting of the Market Stock Units described in Table II. In addition, 762 DERs converted in NRG common stock in connection with the vesting of the RSUs described above. Following these transactions, the reporting person holds 3,832 DERs in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units or market stock units, which become exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-17-000432 · edgar.xml · derivative · entry 26

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 · 52,526 shares

Expires 2017-01-02

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: Mr. Gutierrez was issued 26,263 Market Stock Units ("MSUs") by NRG under the LTIP on January 2, 2014 that vested on January 2, 2017. On the vesting date, he was entitled to receive a maximum of 52,526 shares of Common Stock if the Company has achieved a 100% increase in total shareholder return since the grant date (the "Maximum"); 26,263 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target"), or 19,697 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The number of shares of Common Stock that Mr. Gutierrez may receive is interpolated for total shareholder return falling between Threshold, Target, and Maximum levels. On January 2, 2017, Mr. Gutierrez did not receive any shares.

SEC source: 0001179110-17-000432 · edgar.xml · nonDerivative · entry 25

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,608

F2 · price: On January 2, 2014, Mr. Gutierrez was issued 14,415 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG's Long Term Incentive Plan ("LTIP"). Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 2, 2017, 14,415 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 is being filed to reflect the surrender of 5,813 shares of common stock to satisfy the grantee's tax withholding obligation.

F3 · balance_after: Reflects a reduction of 1,818 dividend equivalent rights ("DERs") that were forfeited upon the vesting of the Market Stock Units described in Table II. In addition, 997 DERs converted in NRG common stock in connection with the vesting of the RSUs described above. Following these transactions, the reporting person holds 10,718 DERs in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units or market stock units, which become exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock. Reflects a de minimus adjustment to the number of shares of NRG common stock by 26 shares as a result of rounding fractional shares acquired dividend reinvestment feature in a brokerage account that has been suspended.

F4 · balance_after: Includes 539 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001179110-17-000431 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 21,036 shares

Expires 2017-01-02

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.

F3 · derivative.exercise_price: Mr. Chillemi was issued 10,518 Market Stock Units ("MSUs") by NRG under the LTIP on January 2, 2014 that vested on January 2, 2017. On the vesting date, he was entitled to receive a maximum of 21,036 shares of Common Stock if the Company has achieved a 100% increase in total shareholder return since the grant date (the "Maximum"); 10,518 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target"), or 7,889 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The number of shares of Common Stock that Mr. Chillemi may receive is interpolated for total shareholder return falling between Threshold, Target, and Maximum levels. On January 2, 2017, Mr. Chillemi did not receive any shares.

SEC source: 0001179110-17-000431 · 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: 42,469

F1 · price: On January 2, 2014, Mr. Chillemi was issued 5,773 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG's Long Term Incentive Plan ("LTIP"). Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 2, 2017, 5,773 shares vested. Mr. Chillemi elected to satisfy his tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form is being filed to reflect the surrender of 3,603 shares of common stock to satisfy the grantee's tax withholding obligation.

F2 · balance_after: Reflects a reduction of 728 dividend equivalent rights ("DERs") that were forfeited upon the vesting of the Market Stock Units described in Table II. In addition, 399 DERs converted in NRG common stock in connection with the vesting of the RSUs described above. Following these transactions, the reporting person holds 2,421 DERs in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units or market stock units, which become exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-17-000430 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,614

F1 · price: On January 2, 2014, Mr. Callen was issued 4,919 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG's Long Term Incentive Plan ("LTIP") that vest ratably over a three year period. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 2, 2017, 1,640 shares vested. On January 2, 2015, 5,394 RSUs were issued to Mr. Callen under the LTIP that vest ratably over a three year period. On January 2, 2017, 1,798 shares vested.

F2 · price: Mr. Callen elected to satisfy his tax obligations upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligations. This form is being filed to reflect the surrender of 1,458 shares of common stock to satisfy the grantee's tax withholding obligations.

F3 · balance_after: Reflects that 203 DERs converted in NRG common stock in connection with the vesting of the RSUs described above. Following these transactions, the reporting person holds 1,041 DERs in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units or market stock units, which become exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.Includes 179 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001179110-17-000429 · edgar.xml · derivative · entry 18

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 · 52,526 shares

Expires 2017-01-02

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: Mr. Andrews was issued 26,263 Market Stock Units ("MSUs") by NRG under the LTIP on January 2, 2014 that vested on January 2, 2017. On the vesting date, he was entitled to receive a maximum of 52, 526 shares of Common Stock if the Company has achieved a 100% increase in total shareholder return since the grant date (the "Maximum"); 26,263 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target"), or 19,697 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The number of shares of Common Stock that Mr. Andrews may receive is interpolated for total shareholder return falling between Threshold, Target, and Maximum levels. On January 2, 2017, Mr. Andrews did not receive any shares.

SEC source: 0001179110-17-000429 · edgar.xml · nonDerivative · entry 17

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,403

F2 · price: On January 2, 2014 Mr. Andrews was issued 14, 415 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG's Long Term Incentive Plan ("LTIP"). Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01. On January 2, 2017, 14, 415 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 is being filed to reflect the surrender of 5,813 shares of common stock to satisfy the grantee's tax withholding obligation.

F3 · balance_after: Reflects a reduction of 1,818 dividend equivalent rights ("DERs") that were forfeited upon the vesting of the Market Stock Units described in Table II. In addition, 997 DERs converted in NRG common stock in connection with the vesting of the RSUs described above. Following these transactions, the reporting person holds 4,949 DERs in the aggregate. Dividend equivalent rights accrue on the reporting person's restricted stock units or market stock units, which become exercisable proportionately with the restricted stock units or market stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock. Reflects a de minimus adjustment to the number of shares of NRG common stock by 7 shares as a result of rounding fractional shares acquired dividend reinvestment feature in a brokerage account that has been suspended.

F4 · balance_after: Includes 617 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001179110-16-031203 · 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: 46,800

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units or market stock units, which becomes exercisable proportionately with the restricted stock units or market 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 2 DERs as a result of rounding fractional shares, resulting in the Reporting Person holding 3548 DERs in the aggregate.

SEC source: 0001179110-16-031215 · edgar.xml · nonDerivative · entry 1

Silverstein Evan Jay · CIK 0001373771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,114

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 1157 dividend equivalent rights.

SEC source: 0001179110-16-031214 · edgar.xml · nonDerivative · entry 1

Schaumburg Anne C · CIK 0001322455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,736

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 1159 dividend equivalent rights.

SEC source: 0001179110-16-031213 · edgar.xml · nonDerivative · entry 1

MULLER EDWARD R · CIK 0001180211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,249

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 1299 dividend equivalent rights.

SEC source: 0001179110-16-031212 · edgar.xml · nonDerivative · entry 1

Hantke William · CIK 0001354962 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,239

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 369 dividend equivalent rights.

SEC source: 0001179110-16-031211 · edgar.xml · nonDerivative · entry 1

DALLAS TERRY G · CIK 0001184731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,918

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 1720 dividend equivalent rights.

SEC source: 0001179110-16-031210 · edgar.xml · nonDerivative · entry 1

COSGROVE HOWARD E · CIK 0001079395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,278

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 2351 dividend equivalent rights.

SEC source: 0001179110-16-031208 · edgar.xml · nonDerivative · entry 1

Caldwell Kirbyjon H · CIK 0001209316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,097

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 1446 dividend equivalent rights.

SEC source: 0001179110-16-031209 · edgar.xml · nonDerivative · entry 1

COBEN LAWRENCE S · CIK 0001272898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,471

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

F2 · balance_after: Includes 1478 dividend equivalent rights.

SEC source: 0001179110-16-031207 · edgar.xml · nonDerivative · entry 1

Abraham Spencer · CIK 0001326633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,533

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 1091 dividend equivalent rights.

SEC source: 0001179110-16-031206 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,893

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units or market stock units, which becomes exercisable proportionately with the restricted stock units or market 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 1244 dividend equivalent rights.

F3 · balance_after: Includes 7 shares acquired through a dividend reinvestment feature.

SEC source: 0001179110-16-031205 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,663

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units or market stock units, which becomes exercisable proportionately with the restricted stock units or market 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 2 DERs as a result of rounding fractional shares, resulting in the Reporting Person holding 4628 DERs in the aggregate.

F3 · balance_after: Reflects a de minimus adjustment to the number of shares of NRG common stock by 1 share as a result of rounding fractional shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan.

SEC source: 0001179110-16-031204 · 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: 75,448

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units or market stock units, which becomes exercisable proportionately with the restricted stock units or market 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 5 DERs as a result of rounding fractional shares, resulting in the Reporting Person holding 5983 DERs in the aggregate.

F3 · balance_after: Reflects a de minimus adjustment to the number of shares of NRG common stock by 2 shares as a result of rounding fractional shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan.

F4 · balance_after: Includes 7 shares acquired through a dividend reinvestment feature that has been suspended.

SEC source: 0001179110-16-031201 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,342

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units or market stock units, which becomes exercisable proportionately with the restricted stock units or market 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 5 DERs as a result of rounding fractional shares, resulting in the Reporting Person holding 13533 DERs in the aggregate.

F3 · balance_after: Reflects a de minimus adjustment to the number of shares of NRG common stock by 3 shares as a result of rounding fractional shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan, and includes 233 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan.

SEC source: 0001179110-16-031200 · edgar.xml · nonDerivative · entry 1

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,676

F1 · price: Represents dividend equivalent rights accrued on the Reporting Person's restricted stock units or market stock units, which becomes exercisable proportionately with the restricted stock units or market 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 7764 dividend equivalent rights.

F3 · balance_after: Reflects a de minimus adjustment to the number of shares of NRG common stock by 1 share as a result of rounding fractional shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan.

SEC source: 0001179110-17-000434 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,284

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000432 · edgar.xml · nonDerivative · entry 24

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,674

F1 · kind: All the purchases were pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000429 · edgar.xml · nonDerivative · entry 16

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,410

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000434 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,204

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000432 · edgar.xml · nonDerivative · entry 23

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,508

F1 · kind: All the purchases were pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000429 · edgar.xml · nonDerivative · entry 15

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,144

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000434 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,140

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000432 · edgar.xml · nonDerivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,376

F1 · kind: All the purchases were pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000429 · edgar.xml · nonDerivative · entry 14

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,931

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-18-006143 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,020

F1 · price: The Reporting Person transferred 3,095 shares of NRG common stock to his ex-wife pursuant to a divorce settlement. The Reporting Person no longer reports as beneficially owned any securities owned by his ex-wife.

F1 · balance_after: The Reporting Person transferred 3,095 shares of NRG common stock to his ex-wife pursuant to a divorce settlement. The Reporting Person no longer reports as beneficially owned any securities owned by his ex-wife.

SEC source: 0001179110-17-000432 · edgar.xml · nonDerivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,383

F1 · kind: All the purchases were pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000429 · edgar.xml · nonDerivative · entry 13

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,343

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000432 · edgar.xml · nonDerivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,587

F1 · kind: All the purchases were pursuant to dividend reinvestment feature in a brokerage account that has been suspended.

SEC source: 0001179110-17-000429 · edgar.xml · nonDerivative · entry 12

Andrews Kirkland B · CIK 0001529284 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,070

F1 · kind: The purchase was pursuant to dividend reinvestment feature in a brokerage account that has been suspended.