Callen David

SEC source: 0001225208-21-013556 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,396

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 465 dividend equivalent rights and 120 shares acquired under NRG Energy, Inc's Employee Stock Purchase Plan since the Reporting Person's last filing date.

SEC source: 0001225208-21-012140 · doc4.xml · derivative · entry 2

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,274

Underlying: Common Stock, par value $.01 per share · 1,274 shares

Expires 2024-09-03

F3 · derivative.exercise_price: The Reporting Person was issued 1,274 Relative Performance Stock Units ("RPSUs") by NRG Energy, Inc. under the LTIP on September 3, 2021. The RPSUs will convert to shares of NRG Common Stock on September 3, 2024 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 numberof shares of Common Stock that the Reporting Person may receive is interpolated for TSR falling between Threshold, Target, and Maximum levels as described below.

F4 · shares: Reporting Person will receive(i) a maximum of 2,548 shares of Common Stock if Company's TSR is ranked at or above the 75th percentile relative to a peer group of companies approved by the Company's Compensation Committee (the "Peer Group") for the performance period (the "Maximum"); (ii) 1,274 shares of Common Stock if 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) 318 shares of Common Stock if Company's TSR is ranked at the 25th percentile relative to the Peer Group for the performance period(the "Threshold"). The Reporting Person will not receive any shares of Common Stock if Company's TSR is below the 25th percentile relative to the Peer Group for the performance period.

F5 · balance_after: The Maximum award that the Reporting Person will receive shall not exceed six (6) times the fair market value of the Target award, determined as of the date of grant.

SEC source: 0001225208-21-012140 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,196

F1 · shares: On September 3, 2021, the reporting person received a supplemental grant in connection with an increase in equity compensation for eligible plan participants under the NRG Energy, Inc. (the "Company") Long Term Incentive Plan (the "LTIP") as determined by the Compensation Committee (the "Committee"). The adjustment was made following a review by the Committee of the Company's compensation structure as part of the integration of Direct Energy and the continued evaluation of the size and scope of the Company's business.

F2 · price: Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01 per share. 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: 0001225208-21-011526 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,424

F1 · price: This transaction was executed in multiple trades at prices ranging from $43.25 to $43.27. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon report to the SEC staff, the issuer or a security holder full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001225208-21-011174 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,424

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 385 dividend equivalent rights.

SEC source: 0001225208-21-010301 · doc4.xml · nonDerivative · entry 3

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,352

F2 · price: This transaction was executed in multiple trades at prices ranging from $39.75 to $40.23. 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: 0001225208-21-010301 · doc4.xml · nonDerivative · entry 2

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,489

SEC source: 0001225208-21-010301 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,489

F1 · price: This transaction was executed in multiple trades at prices ranging from $40.07 to $40.16. 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: 0001225208-21-007640 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,652

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 313 dividend equivalent rights and 143 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001225208-21-001582 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,426

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 230 dividend equivalent rights.

SEC source: 0001225208-21-000721 · doc4.xml · derivative · entry 10

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,056

Underlying: Common Stock, par value $.01 per share · 7,056 shares

Expires 2024-01-02

F12 · derivative.exercise_price: The Reporting Person was issued 7,056 Relative Performance Stock Units ("RPSUs") by NRG Energy, Inc. under the LTIP on January 2, 2021. The RPSUs will convert to shares of NRG Common Stockon January 2, 2024 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 numberof shares of Common Stock that the Reporting Person may receive is interpolated for TSR falling between Threshold, Target, and Maximum levels as described below.

F13 · shares: Reporting Person will receive(i) a maximum of 14,112 shares of Common Stock if Company's TSR is ranked at or above the 75th percentile relative to a peer group of companies approved by the Company's Compensation Committee (the "Peer Group") for the performance period (the "Maximum"); (ii) 7,056 shares of Common Stock if 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) 1,764 shares of Common Stock if Company's TSR is ranked at the 25th percentile relative to the Peer Group for the performance period(the "Threshold"). The Reporting Person will not receive any shares of Common Stock if Company's TSR is below the 25th percentile relative to the Peer Group for the performance period.

F14 · derivative.underlying_shares: The Maximum award that the Reporting Person will receive shall not exceed six (6) times the fair market value of the Target award, determined as of the date of grant.

SEC source: 0001225208-21-000721 · doc4.xml · derivative · entry 9

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 11,451 shares

Expires 2021-01-02

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.

F1 · derivative.exercise_price: The Reporting Person was issued 9,088 RPSUs by NRG under the LTIP on January 2, 2018 that vested on January 2, 2021. On the vesting date the Reporting Person was entitled to receive a maximum of 18,176 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 9,088 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 2,272 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person wouldnot 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 2, 2021 the reporting person vested in 11,451 shares.

SEC source: 0001225208-21-000721 · doc4.xml · derivative · entry 8

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 494 shares

Expires 2021-01-02

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.

F4 · derivative.exercise_price: In connection with the vesting of the RPSUs described above, an incremental 494 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units or relative performance stock units, which become exercisable proportionately with the restricted 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: 0001225208-21-000721 · doc4.xml · nonDerivative · entry 7

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,357

F11 · price: The Reporting Person elected to satisfy their tax withholding obligation upon the exchange of common stock for RPSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 4,154 shares of common stock to satisfy the grantee's tax withholding obligation

SEC source: 0001225208-21-000721 · doc4.xml · nonDerivative · entry 6

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,511

F9 · price: On January 2, 2018, the Reporting Person was issued 5,540 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalentin value to one share of NRG's common stock, par value $.01. On January 2, 2021 1,851 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of common stock for RSUs having avalue on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 763 shares of common stock to satisfy the grantee's tax withholding obligation.

F10 · balance_after: In connection with the vesting of the RSUs described above, 79 DERs vested, resulting in the Reporting Person holding 161 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units or relative performance stock units.

SEC source: 0001225208-21-000721 · doc4.xml · nonDerivative · entry 5

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,274

F7 · price: On January 2, 2019, the Reporting Person was issued 4,286 Restricted Stock Units ("RSUs") by NRG Energy, Inc. under NRG Energy, Inc.'s Amended and Restated Long Term Incentive Plan. Each RSU is equivalentin value to one share of NRG's common stock, par value $.01. On January 2, 2021 1,427 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of common stock for RSUs having avalue on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 586 shares of common stock to satisfy the grantee's tax withholding obligation.

F8 · balance_after: In connection with the vesting of the RSUs described above, 55 DERs vested, resulting in the Reporting Person holding 240 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units or relative performance stock units.

SEC source: 0001225208-21-000721 · doc4.xml · nonDerivative · entry 4

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,860

F5 · price: On January 2, 2020, the Reporting Person was issued 4,304 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 2, 2021 1,433 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of common stock for RSUs having avalue on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 519 shares of common stock to satisfy the grantee's tax withholding obligation.

F6 · balance_after: In connection with the vesting of the RSUs described above, 51 DERs vested, resulting in the Reporting Person holding 295 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units or relative performance stock units.

SEC source: 0001225208-21-000721 · doc4.xml · nonDerivative · entry 3

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,379

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.

F4 · price: In connection with the vesting of the RPSUs described above, an incremental 494 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units or relative performance stock units, which become exercisable proportionately with the restricted 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: 0001225208-21-000721 · doc4.xml · nonDerivative · entry 2

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,885

F2 · shares: Represents Restricted Stock Units issued to the Reporting Person under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan ("LTIP").

F3 · price: Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01 per share. 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: 0001225208-21-000721 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,304

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.

F1 · price: The Reporting Person was issued 9,088 RPSUs by NRG under the LTIP on January 2, 2018 that vested on January 2, 2021. On the vesting date the Reporting Person was entitled to receive a maximum of 18,176 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 9,088 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 2,272 shares of Common Stock if there is a 25% decrease in total shareholder return since the grant date (the "Threshold"). The Reporting Person wouldnot 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 2, 2021 the reporting person vested in 11,451 shares.

SEC source: 0001225208-21-000073 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,853

F1 · price: This transaction was executed in multiple trades at prices ranging from $35.56 to $36.20. The price 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 at which the transaction was effected. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001225208-20-014832 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,853

SEC source: 0001225208-20-013065 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,853

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 346 dividend equivalent rights and 163 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001225208-20-010315 · doc4.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · Sr VP & Chief Accounting Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,604

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 260 dividend equivalent rights which reflects a de minimis adjustment to the number of dividend equivalent rights by 1 as a result of rounding fractional shares.

SEC source: 0001179110-20-005498 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,522

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

F2 · balance_after: Includes 177 dividend equivalent rights and 157 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001179110-20-001194 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,283

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 95 dividend equivalent rights.

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

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Expires 2020-01-03

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

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

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

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

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

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Expires 2020-01-03

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

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

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

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,611

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

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

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

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,932

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

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

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,695

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

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

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

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,179

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

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

SEC source: 0001179110-20-000329 · edgar.xml · derivative · entry 8

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,435

Underlying: Common Stock, par value $.01 per share · 14,870 shares

Expires 2023-01-02

F7 · derivative.exercise_price: The Reporting Person was issued 7,435 Relative Performance Stock Units ("RPSUs") by NRG Energy, Inc. under the LTIP on January 2, 2020. The RPSUs will convert to shares of NRG Common Stock on January 2, 2023 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.

F8 · derivative.underlying_shares: Reporting Person will receive(i) a maximum of 14,870 shares of Common Stock if Company's TSR is ranked at or above the 75th percentile relative to a peer group of companies approved by the Company's Compensation Committee (the "Peer Group") for the performance period (the "Maximum"); (ii) 7,435 shares of Common Stock if 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) 1,858 shares of Common Stock if Company's TSR is ranked at the 25th percentile relative to the Peer Group for the performance period (the "Threshold"). The Reporting Person will not receive any shares of Common Stock if Company's TSR is below the 25th percentile relative to the Peer Group for the performance period.

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

SEC source: 0001179110-20-000329 · edgar.xml · nonDerivative · entry 3

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,699

F5 · price: On January 2, 2019, the Reporting Person was issued 4,286 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 2, 2020, 1,427 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 516 shares of common stock to satisfy the grantee's tax withholding obligation.

F6 · balance_after: In connection with the vesting of the RSUs described above, 4 DERs vested, resulting in the Reporting Person holding 77 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000329 · edgar.xml · nonDerivative · entry 2

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,215

F3 · price: On January 2, 2018, the Reporting Person was issued 5,540 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 2, 2020, 1,845 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 681 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, 12 DERs vested, resulting in the Reporting Person holding 81 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units, market stock units or relative performance stock units to which they relate and may only be settled in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

SEC source: 0001179110-20-000329 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,896

F1 · shares: Represents Restricted Stock Units issued to the 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. 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: 0001179110-19-011427 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,592

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 93 dividend equivalent rights and 107 shares acquired under NRG Energy, Inc.'s Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001179110-19-009172 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,476

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: The total reported in Column 5 has been adjusted to correct an overstatement of total holdings by 42 DERs, resulting in 84 DERs held in the aggregate by the Reporting Person.

SEC source: 0001179110-19-005545 · edgar.xml · nonDerivative · entry 1

Callen David · CIK 0001636160 · SVP,Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,954

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 973 Dividend Equivalent Rights.

SEC source: 0001179110-19-003863 · edgar.xml · derivative · entry 6

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 2,800 shares

Expires 2020-01-04

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

SEC source: 0001179110-19-003863 · edgar.xml · derivative · entry 5

Callen David · CIK 0001636160 · SVP, Chief Accounting Offficer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 3,800 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: 0001179110-19-003863 · 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: 0001179110-19-001379 · 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: 0001179110-19-000542 · 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.