TapewireFind a company

person · Reporting owner

Gutierrez Mauricio

Disclosed activity across 2 companies

Tapewire entity
38955
SEC CIK
0001428578

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
CHIPOTLE MEXICAN GRILL INCCMG · Entity 3037DirectorJune 11, 2026June 12, 2026
NRG ENERGY, INC.NRG · Entity 3216Director · President & CEONovember 01, 2023November 03, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CHIPOTLE MEXICAN GRILL INC

Report date June 11, 2026 · Filed June 12, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
common stockSEC Table I · non-derivativeDirect42,432 Reported balance After 2026-06-11 transaction · row 1
1 source row

Row 1 · 2026-06-11 · Grant · Acquired 6,880 · Balance 42,432

F1: The reporting person received shares of common stock under the Chipotle Mexican Grill, Inc. 2022 Stock Incentive Plan as compensation for the reporting person's service as a director from June 2026 through May 2027. The shares are freely tradeable on the date of grant.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person received shares of common stock under the Chipotle Mexican Grill, Inc. 2022 Stock Incentive Plan as compensation for the reporting person's service as a director from June 2026 through May 2027. The shares are freely tradeable on the date of grant.

NRG ENERGY, INC.

Report date November 01, 2023 · Filed November 03, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $.01 per shareSEC Table I · non-derivativeDirect1,219,637 Reported balance After 2023-11-01 transaction · row 1
1 source row

Row 1 · 2023-11-01 · Grant · Acquired 1,643 · Balance 1,219,637

F1: 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. Reflects a de minimus adjustment of 1 security beneficially owned following reported transaction as a result of rounding fractional shares. Includes 10,484 dividend equivalent rights.

Filing footnotes · ownership attribution and instrument terms

F1: 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. Reflects a de minimus adjustment of 1 security beneficially owned following reported transaction as a result of rounding fractional shares. Includes 10,484 dividend equivalent rights.

Transaction history

JSON API
Reset

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 11, 2026 Filed Jun 12, 2026 23:17 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Grantcommon stock 6,880 $31.25 $215,000.00
Disclosure

SEC source: 0001058090-26-000049 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,432

F1 · shares: The reporting person received shares of common stock under the Chipotle Mexican Grill, Inc. 2022 Stock Incentive Plan as compensation for the reporting person's service as a director from June 2026 through May 2027. The shares are freely tradeable on the date of grant.

Read SEC document
June 11, 2025 Filed Jun 13, 2025 19:53 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Grantcommon stock 4,152 $51.79 $215,032.08
Disclosure

SEC source: 0001127602-25-017457 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,552

F1 · shares: The reporting person received shares of common stock under the Chipotle Mexican Grill, Inc. 2022 Stock Incentive Plan as compensation for the reporting person's service as a director from June 2025 through May 2026. The shares are freely tradeable on the date of grant.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 21:37 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Purchasecommon stock 9,400 $53.00 $498,200.00
Disclosure

SEC source: 0001127602-25-008719 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,400

Read SEC document
June 06, 2024 Filed Jun 7, 2024 20:22 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Grantcommon stock 67 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-018178 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 440

F1 · shares: The issuer granted restricted stock units ("RSUs") under the Chipotle Mexican Grill, Inc. 2022 Stock Incentive Plan as compensation for the reporting person's term of service as a director from June 2024 through May 2025. The RSUs fully vested on the date of grant and were settled in shares of the issuer's common stock on a one-for-one basis.

Read SEC document
November 01, 2023 Filed Nov 3, 2023 21:04 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 1,643 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-009960 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,219,637

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. Reflects a de minimus adjustment of 1 security beneficially owned following reported transaction as a result of rounding fractional shares. Includes 10,484 dividend equivalent rights.

Read SEC document
September 03, 2023 Filed Sep 6, 2023 22:10 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 2,103 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-008753 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,217,993

F1 · price: On September 3, 2021, the Reporting Person was issued a supplemental grant of 14,881 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 September 3, 2023, 4,955 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 2,103 shares of common stock to satisfy the grantee's tax withholding obligation.

F2 · balance_after: In connection with the vesting of the RSUs described above, 388 DERs vested, resulting in the Reporting Person holding 8,840 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on theReporting Person's restricted stock units or relative performance stock units, which become exercisable proportionately with the restricted stock units or relative performance stock units.

Read SEC document
August 01, 2023 Filed Aug 3, 2023 21:04 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 1,940 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-007977 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,220,096

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. Includes 9,228 dividend equivalent rights.

Read SEC document
May 25, 2023 Filed May 25, 2023 23:38 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Grantcommon stock 105 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-016905 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 373

F1 · shares: The issuer granted restricted stock units ("RSUs") to each of its non-employee directors under the Chipotle Mexican Grill, Inc. 2022 Stock Incentive Plan as compensation for the director's one-year term of service from May 2023 to May 2024. The RSUs fully vested on the date of grant and were settled in shares of the issuer's common stock on a one-for-one basis.

Read SEC document
May 01, 2023 Filed May 3, 2023 20:53 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 2,134 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-005374 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,218,156

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. Includes 7,288 dividend equivalent rights.

Read SEC document
February 01, 2023 Filed Feb 3, 2023 21:47 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 2,075 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-001285 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,216,022

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. Includes 5,154 dividend equivalent rights.

Read SEC document
January 02, 2023 Filed Jan 4, 2023 22:53 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantRelative Performance Stock Units · Derivative 198,921 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-23-000290 · doc4.xml · derivative · entry 6

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,921

Underlying: Common Stock, par value $.01 per share · 198,921 shares

Expires 2026-01-02

F6 · shares: On January 2, 2023, the Reporting Person was issued 198,921 RPSUs by NRG under the LTIP that vest on January 2, 2026, subject to certain performance conditions.

Read SEC document
January 02, 2023 Filed Jan 4, 2023 22:53 UTC NRG ENERGY, INC. NRG · Entity 3216 OtherRelative Performance Stock Units · Derivative 83,615 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-000290 · doc4.xml · derivative · entry 5

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 83,615 shares

Expires 2023-01-02

F5 · derivative.exercise_price: The Reporting Person did not vest in shares associated with RPSUs granted on January 2, 2020 because of performance conditions.

F5 · shares: The Reporting Person did not vest in shares associated with RPSUs granted on January 2, 2020 because of performance conditions.

F5 · balance_after: The Reporting Person did not vest in shares associated with RPSUs granted on January 2, 2020 because of performance conditions.

Read SEC document
January 02, 2023 Filed Jan 4, 2023 22:53 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 8,168 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-000290 · doc4.xml · nonDerivative · entry 4

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,213,947

F4 · balance_after: On January 2, 2022, the Reporting Person was issued 60,157 RSUs by NRG under the LTIP. On January 2, 2023, 20,032 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 8,168 shares of Common Stock to satisfy the Reporting Person's tax withholding obligation. In connection with the vesting of the RSUs, 726 DERs vested, resulting in the Reporting Person holding 3,079 DERs in the aggregate.

Read SEC document
January 02, 2023 Filed Jan 4, 2023 22:53 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 4,992 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-000290 · doc4.xml · nonDerivative · entry 3

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,222,115

F3 · balance_after: On January 2, 2021, the Reporting Person was issued 50,012 RSUs by NRG under the LTIP. On January 2, 2023, 16,654 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of Common Stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 4,992 shares of Common Stock to satisfy the Reporting Person's tax withholding obligation. In connection with the vesting of the RSUs, 1,176 DERs vested, resulting in the Reporting Person holding 3,805 DERs in the aggregate.

Read SEC document
January 02, 2023 Filed Jan 4, 2023 22:53 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 4,622 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-000290 · doc4.xml · nonDerivative · entry 2

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,227,107

F2 · balance_after: On January 2, 2020, the Reporting Person was issued 48,401 RSUs by NRG under the LTIP. On January 2, 2023, 16,166 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of Common Stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 4,622 shares of Common Stock to satisfy the Reporting Person's tax withholding obligation. In connection with the vesting of the RSUs, 1,765 DERs vested, resulting in the Reporting Person holding 4,981 DERs in the aggregate.

Read SEC document
January 02, 2023 Filed Jan 4, 2023 22:53 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 120,361 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-000290 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,231,729

F1 · balance_after: Represents Restricted Stock Units ("RSUs") issued to the Reporting Person under the LTIP. Each RSU is equivalent in value to one share of NRG's Common Stock, par value $.01 per share ("Common Stock"). 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 date of the grant.

Read SEC document
December 15, 2022 Filed Dec 16, 2022 17:29 UTC NRG ENERGY, INC. NRG · Entity 3216 PurchaseCommon Stock, par value $.01 per share 15,000 $32.03 $480,450.00
Disclosure

SEC source: 0001225208-22-012867 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,111,368

Read SEC document
November 01, 2022 Filed Nov 3, 2022 21:03 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 996 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011366 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,096,368

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

F2 · balance_after: Reflects a de minimus adjustment of 78 to securities beneficially owned following reported transaction as a result of rounding fractional shares. Includes 6,746 dividend equivalent rights.

Read SEC document
September 03, 2022 Filed Sep 7, 2022 20:42 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 2,021 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-010132 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,095,450

F1 · price: On September 3, 2021, the Reporting Person was issued a supplemental grant of 14,881 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 September 3, 2022, 4,955 shares vested. The Reporting Person elected to satisfy their tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 2,021 shares of common stock to satisfy the grantee's tax withholding obligation.

F2 · balance_after: In connection with the vesting of the RSUs described above, 180 DERs vested, resulting in the Reporting Person holding 5,794 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.

Read SEC document
August 01, 2022 Filed Aug 3, 2022 21:30 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 1,202 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-009246 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,097,471

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 5,929 dividend equivalent rights.

Read SEC document
May 19, 2022 Filed May 20, 2022 20:35 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Grantcommon stock 140 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015298 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268

F1 · shares: The issuer granted restricted stock units ("RSUs") to each of its non-employee directors under the Chipotle Mexican Grill, Inc. 2022 Stock Incentive Plan as compensation for the director's one-year term of service from May 2022 to May 2023. The RSUs fully vested on the date of grant and were settled in shares of the issuer's common stock on a one-for-one basis.

Read SEC document
May 02, 2022 Filed May 4, 2022 22:00 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 1,216 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-006510 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,096,269

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 4,727 dividend equivalent rights.

Read SEC document
February 01, 2022 Filed Feb 3, 2022 21:50 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 1,146 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-001438 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,095,053

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 3,511 dividend equivalent rights.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantRelative Performance Stock Units · Derivative 91,651 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · derivative · entry 10

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,651

Underlying: Common Stock, par value $.01 per share · 91,651 shares

Expires 2025-01-02

F13 · derivative.exercise_price: The Reporting Person was issued 91,651 Relative Performance Stock Units ("RPSUs") by NRG Energy, Inc. under the LTIP on January 2, 2022. The RPSUs will convert to shares of NRG Common Stockon January 2, 2025 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.

F14 · shares: Reporting Person will receive(i) a maximum of 183,302 shares of Common Stock if Company's TSR is ranked at or above the 75th percentile relative to a peer group approved by the Company's Compensation Committee (the "Peer Group") for the performance period (the "Maximum"); (ii) 91,651 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) 22,912 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.

F15 · 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.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Exercise / conversionRelative Performance Stock Units · Derivative 64,702 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · derivative · entry 9

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 64,702 shares

Expires 2022-01-02

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.

F12 · derivative.exercise_price: The Reporting Person was issued 88,878 RPSUs by NRG under the LTIP on January 2, 2019 that vested on January 2, 2022. On the vesting date the Reporting Person was entitled to receive a maximum of 161,756 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 80,878 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 80,878 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 2, 2022 the reporting person vested in 64,702 shares.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Exercise / conversionDividend Equivalent Rights · Derivative 4,767 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · derivative · entry 8

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 4,767 shares

Expires 2022-01-02

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 4,767 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.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 27,336 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · nonDerivative · entry 7

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,093,907

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 27,336 shares of common stock to satisfy the grantee's tax withholding obligation.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 6,770 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · nonDerivative · entry 6

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,121,243

F9 · price: On January 2, 2021, the Reporting Person was issued 50,012 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, 2022 16,653 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 6,770 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, 552 DERs vested, resulting in the Reporting Person holding 2,365 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on theReporting 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 stockunits.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 5,881 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · nonDerivative · entry 5

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,128,013

F7 · price: On January 2, 2020, the Reporting Person was issued 48,401 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, 2022 16,118 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 5,881 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, 1,134 DERs vested, resulting in the Reporting Person holding 2,917 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on theReporting 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 stockunits.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 4,348 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · nonDerivative · entry 4

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,133,894

F5 · price: On January 2, 2019, the Reporting Person was issued 47,842 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, 2022 15,980 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 4,348 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, 1,177 DERs vested, resulting in the Reporting Person holding 4,051 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on theReporting 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 stockunits.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Exercise / conversionCommon Stock, par value $.01 per share 4,767 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · nonDerivative · entry 3

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,138,242

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 4,767 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.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 60,157 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · nonDerivative · entry 2

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,133,475

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.

Read SEC document
January 02, 2022 Filed Jan 5, 2022 01:57 UTC NRG ENERGY, INC. NRG · Entity 3216 Exercise / conversionCommon Stock, par value $.01 per share 64,702 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-000329 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,073,318

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 80,878 RPSUs by NRG under the LTIP on January 2, 2019 that vested on January 2, 2022. On the vesting date the Reporting Person was entitled to receive a maximum of 161,756 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 80,878 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 80,878 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 2, 2022 the reporting person vested in 64,702 shares.

Read SEC document
November 01, 2021 Filed Nov 3, 2021 21:04 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 943 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-013560 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,616

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 5,228 dividend equivalent rights.

Read SEC document
September 03, 2021 Filed Sep 8, 2021 20:58 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantRelative Performance Stock Units · Derivative 24,542 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-21-012135 · doc4.xml · derivative · entry 2

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,542

Underlying: Common Stock, par value $.01 per share · 24,542 shares

Expires 2024-09-03

F3 · derivative.exercise_price: The Reporting Person was issued 25,452 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 Stockon 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 49,084 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) 24,542 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) 6,135 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.

Read SEC document
September 03, 2021 Filed Sep 8, 2021 20:58 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 14,881 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-012135 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,007,673

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.

Read SEC document
August 02, 2021 Filed Aug 4, 2021 21:01 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 804 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-011177 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 992,792

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 4,285 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.

Read SEC document
May 18, 2021 Filed May 20, 2021 20:40 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Grantcommon stock 114 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-017596 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128

F1 · shares: The issuer granted restricted stock units ("RSUs") to each of its non-employee directors under the Amended and Restated Chipotle Mexican Grill, Inc. 2011 Stock Incentive Plan as compensation for the director's one-year term of service from May 2021 to May 2022. The RSUs fully vested on the date of grant and were settled in shares of the issuer's common stock on a one-for-one basis.

Read SEC document
May 03, 2021 Filed May 5, 2021 21:13 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 922 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-007643 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 991,988

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 3,480 dividend equivalent rights.

Read SEC document
April 05, 2021 Filed Apr 7, 2021 20:35 UTC CHIPOTLE MEXICAN GRILL INC CMG · Entity 3037 Grantcommon stock 14 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-013409 · form4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14

F1 · shares: The reporting person received a prorated grant of restricted stock units ("RSUs") under the Amended and Restated Chipotle Mexican Grill, Inc. 2011 Stock Incentive Plan and Chipotle's Director Compensation Program in connection with his election to the Board on March 30, 2021. The RSUs cover his term of service from March 30 to Chipotle's 2021 annual meeting of shareholders. The RSUs will settle in shares of Chipotle common stock on a one-for-one basis and will vest in full on May 18, 2021, subject to the reporting person's continued service on the Chipotle Board of Directors.

Read SEC document
February 01, 2021 Filed Feb 3, 2021 22:22 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 770 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-001587 · doc4.xml · nonDerivative · entry 1

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 991,066

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

F2 · balance_after: Includes 2, 558 dividend equivalent rights.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantRelative Performance Stock Units · Derivative 77,042 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · derivative · entry 10

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,042

Underlying: Common Stock, par value $.01 per share · 77,042 shares

Expires 2024-01-02

F14 · derivative.exercise_price: The Reporting Person was issued 77,042 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.

F15 · shares: Reporting Person will receive(i) a maximum of 154,084 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) 77,042 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) 19,260 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.

F16 · 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.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 Exercise / conversionRelative Performance Stock Units · Derivative 123,374 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · derivative · entry 9

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 123,374 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.

F13 · derivative.exercise_price: The Reporting Person was issued 97,916 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 195,832 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 97,916 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 24,479 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 123,374 shares.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 Exercise / conversionDividend Equivalent Rights · Derivative 5,331 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · derivative · entry 8

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 per share · 5,331 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.

F12 · derivative.exercise_price: In connection with the vesting of the RPSUs described above, an incremental 5,331 DERs vested. Dividend equivalent rights accrue on the Reporting Person's restricted stock units, market stock units orrelative 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 inNRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 81,020 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · nonDerivative · entry 7

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 968,731

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. Thisform reflects the surrender of 81,020 shares of common stock to satisfy the grantee's tax withholding obligation

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 10,511 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · nonDerivative · entry 6

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,049,751

F9 · price: On January 2, 2020, the Reporting Person was issued 48,401 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 16,117 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 10,511 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, 580 DERs vested, resulting in the Reporting Person holding 1,788 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 stockunits.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 9,908 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · nonDerivative · entry 5

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,262

F7 · price: On January 2, 2018, the Reporting Person was issued 59,692 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 19,938 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 9,908 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, 861 DERs vested, resulting in the Reporting Person holding 2,368 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on theReporting 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 stockunits.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 Tax withholdingCommon Stock, par value $.01 per share 9,547 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · nonDerivative · entry 4

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,070,170

F5 · price: On January 2, 2019, the Reporting Person was issued 47,842 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 15,931 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 9,547 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, 624 DERs vested, resulting in the Reporting Person holding 3,229 dividend equivalent rights in the aggregate. Dividend equivalent rights accrue on theReporting 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.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 Exercise / conversionCommon Stock, par value $.01 per share 5,331 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · nonDerivative · entry 3

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,079,717

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 5,331 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.

Read SEC document
January 02, 2021 Filed Jan 6, 2021 02:27 UTC NRG ENERGY, INC. NRG · Entity 3216 GrantCommon Stock, par value $.01 per share 50,012 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-000406 · doc4.xml · nonDerivative · entry 2

Gutierrez Mauricio · CIK 0001428578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,074,386

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.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.