Patel Rasesh M.

SEC source: 0001225208-25-005326 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,091

F1 · balance_after: On March 10, 2023, the Reporting Person's outstanding Restricted Stock Units (RSUs) originally granted on May 16, 2022 converted to 410,345 RSUs under NRG's Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's common stock, par value $.01. On May 16, 2025, 61,905 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 24,360 shares of Common Stock to satisfy the Reporting Person's tax withholding obligation.

SEC source: 0001225208-25-004698 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,451

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. Includes 1,101 dividend equivalent rights.

SEC source: 0001225208-25-003781 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,320

F1 · balance_after: On March 31, 2023, the Reporting Person was issued 28,871 Restricted Stock Units (RSUs) by NRG Energy, Inc. under NRG's Amended and Restated Long Term Incentive Plan. On March 31, 2025, 9,624 RSUs vested. This form reflects the surrender of 4,009 shares of common stock to satisfy the tax obligation. In connection with the vesting of the RSUs, 564 Dividend Rights (DERs) vested, resulting in the Reporting Person holding 970 DERs in the aggregate. Also includes 299 shares acquired under NRG's Employee Stock Purchase Plan since the Reporting Person's last filing.

SEC source: 0001225208-25-001275 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,030

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. Includes 1,534 dividend equivalent rights.

SEC source: 0001225208-25-000394 · doc4.xml · derivative · entry 3

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,807

Underlying: Common Stock, par value $.01 per share · 16,807 shares

Expires 2028-01-02

F3 · shares: On January 2, 2025, the Reporting Person was issued 16,807 RPSUs by NRG under the LTIP that vest on January 2, 2028, subject to certain performance conditions.

SEC source: 0001225208-25-000394 · doc4.xml · nonDerivative · entry 2

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,841

F2 · shares: On January 2, 2024, the Reporting Person was issued 19,317 RSUs by NRG under the LTIP. On January 2, 2025, 6,439 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 1,703 shares of Common Stock to satisfy the Reporting Person's tax withholding obligation. In connection with the vesting of the RSUs, 151 DERs vested, resulting in the Reporting Person holding 1,345 DERs in the aggregate.

SEC source: 0001225208-25-000394 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,544

F1 · shares: 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.

SEC source: 0001225208-24-009640 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,870

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. Includes 1,496 dividend equivalent rights. Reflects a de minimus adjustment of 3 securities beneficially owned following the reported transaction as a result of rounding fractional shares.

SEC source: 0001225208-24-008728 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,680

F1 · shares: This transaction was executed in multiple trades. The price reported 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001225208-24-007853 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,283

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. Includes 1,308 dividend equivalent rights.

SEC source: 0001225208-24-006245 · doc4.xml · nonDerivative · entry 2

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,064

F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001225208-24-006245 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,610

F1 · price: On March 10, 2023, the Reporting Person's outstanding Restricted Stock Units (RSUs) originally granted on May 16, 2022 converted to 410,345 RSUs under NRG's Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's common stock, par value $.01. On May 16, 2024, 159,186 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 62,640 shares of Common Stock to satisfy the Reporting Person's tax withholding obligation.

SEC source: 0001225208-24-005583 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,250

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 1,089 dividend equivalent rights.

SEC source: 0001225208-24-004814 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · President, NRG Consumer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,032

F1 · price: On March 31, 2023, the Reporting Person was issued 28,871 Restricted Stock Units by NRG Energy, Inc. under NRG's Amended and Restated Long Term Incentive Plan. On March 31, 2024 9,987 shares vested. The Reporting Person elected to satisfy his tax obligation upon the exchange of common stock for RSUs having a value on the date of the exchange equal to the withholding obligation. This form reflects the surrender of 3,930 shares to satisfy the tax obligation. In connection with the vesting of the RSUs, 363 Dividend Equivalent Rights vested, resulting in the Reporting Person holding 870 DERs in the aggregate.

SEC source: 0001225208-24-004292 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Exec VP, Smart Home

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 356,962

F1 · shares: This transaction was executed in multiple trades. The price reported 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001225208-24-001590 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Exec VP, Smart Home

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 406,054

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 1,233 dividend equivalent rights.

SEC source: 0001225208-24-000444 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Exec VP, Smart Home

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 405,686

F1 · shares: 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.

SEC source: 0001225208-23-011283 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Exec VP, Vivint

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 386,369

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 865 dividend equivalent rights. This acquisition is being reported late due to an inadvertent clerical error and not any error of the Reporting Person.

SEC source: 0001225208-23-007973 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Exec VP, Vivint

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 386,116

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 611 dividend equivalent rights.

SEC source: 0001225208-23-006052 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Exec VP, Vivint

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 385,825

F1 · price: On March 10, 2023, the Reporting Person's outstanding Restriced Stock Units ("RSUs"), originally granted on May 16, 2022, converted to 410,345 RSUs under NRG Energy, Inc.'s Long Term Incentive Plan. Each RSU is equivalent in value to one share of NRG's common stock, par value $.01. On May 16, 2023, 127,349 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 tax withholding obligation. This form reflects the surrender of 53,711 shares of common stock to satisfy this obligation.

SEC source: 0001225208-23-005378 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Exec VP, Vivint

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 439,536

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 320 dividend equivalent rights.

SEC source: 0000899243-23-008512 · doc4.xml · derivative · entry 2

Patel Rasesh M. · CIK 0001735576 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,143,662 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represented a contingent right to receive one share of Common Stock. The RSUs were to be settled in either Common Stock or cash.

F1 · kind: On March 10, 2023, NRG Energy, Inc. ("NRG") acquired Vivint Smart Home, Inc. (the "Issuer") pursuant to that certain Agreement and Plan of Merger dated as of December 6, 2022 (the "Merger Agreement") by and among the Issuer, NRG and Jetson Merger Sub, Inc., a wholly owned subsidiary of NRG ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of NRG. At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of Class A common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") (other than certain excluded shares) automatically converted into the right to receive $12.00 per share in cash, without interest (the "Merger Consideration").

F3 · kind: Pursuant to the Merger Agreement, unvested RSUs of the Issuer were automatically converted into a number of NRG RSUs calculated as the product of (i) the number of shares underlying such Issuer RSU award and (ii) the ratio of the Merger Consideration divided by the average of the closing sales price of NRGs common stock, par value $0.01 per share for the ten (10) consecutive full trading days ending on the trading day immediately preceding the closing date (the "Exchange Ratio"). Such NRG RSUs will continue to be subject to the same terms and conditions (including vesting and termination treatment) as were applicable to the Issuer RSUs.

F4 · kind: Reflects an initial grant of 1,232,394 RSUs. 354,930 RSUs vest on May 16, 2023 with the remaining grant to vest as follows: 36% on May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026.

F3 · price: Pursuant to the Merger Agreement, unvested RSUs of the Issuer were automatically converted into a number of NRG RSUs calculated as the product of (i) the number of shares underlying such Issuer RSU award and (ii) the ratio of the Merger Consideration divided by the average of the closing sales price of NRGs common stock, par value $0.01 per share for the ten (10) consecutive full trading days ending on the trading day immediately preceding the closing date (the "Exchange Ratio"). Such NRG RSUs will continue to be subject to the same terms and conditions (including vesting and termination treatment) as were applicable to the Issuer RSUs.

F4 · derivative.exercise_date: Reflects an initial grant of 1,232,394 RSUs. 354,930 RSUs vest on May 16, 2023 with the remaining grant to vest as follows: 36% on May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026.

F4 · derivative.expiration_date: Reflects an initial grant of 1,232,394 RSUs. 354,930 RSUs vest on May 16, 2023 with the remaining grant to vest as follows: 36% on May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026.

SEC source: 0000899243-23-008512 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On March 10, 2023, NRG Energy, Inc. ("NRG") acquired Vivint Smart Home, Inc. (the "Issuer") pursuant to that certain Agreement and Plan of Merger dated as of December 6, 2022 (the "Merger Agreement") by and among the Issuer, NRG and Jetson Merger Sub, Inc., a wholly owned subsidiary of NRG ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of NRG. At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of Class A common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") (other than certain excluded shares) automatically converted into the right to receive $12.00 per share in cash, without interest (the "Merger Consideration").

F1 · price: On March 10, 2023, NRG Energy, Inc. ("NRG") acquired Vivint Smart Home, Inc. (the "Issuer") pursuant to that certain Agreement and Plan of Merger dated as of December 6, 2022 (the "Merger Agreement") by and among the Issuer, NRG and Jetson Merger Sub, Inc., a wholly owned subsidiary of NRG ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of NRG. At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of Class A common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") (other than certain excluded shares) automatically converted into the right to receive $12.00 per share in cash, without interest (the "Merger Consideration").

SEC source: 0000899243-22-039612 · doc4.xml · derivative · entry 3

Patel Rasesh M. · CIK 0001735576 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,143,662

Underlying: Class A Common Stock · 88,732 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A common stock of the Issuer ("Class A Common Stock"). The RSUs will be settled in either Class A Common Stock or cash.

F1 · kind: In connection with the anticipated transactions contemplated by the Agreement and Plan of Merger, dated as of December 6, 2022, entered into by and among Vivint Smart Home, Inc. (the "Issuer"), NRG Energy, Inc. ("Parent"), and Jetson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub will be merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, the Board of Directors of the Issuer approved the acceleration of the payment of certain equity awards to mitigate certain adverse tax consequences under Section 280G or 4999 of the Internal Revenue Code of 1986, as amended, that could arise in connection with the Merger.

F2 · kind: The accelerated settlement described in this Form 4 is contingent upon the Reporting Person's agreement to repay accelerated compensation amounts if the Reporting Person ceases to be employed with the Issuer prior to the date which his equity award described herein would otherwise vest, subject to any outstanding accelerated vesting provisions.

F5 · kind: On May 16, 2022, the Reporting Person was granted 1,232,394 RSUs that were scheduled to vest as follows: 36% on each of May 16, 2023 and May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026. The number of RSUs reported represents 20% of the number of RSUs that was scheduled to vest on May 16, 2023. The remaining unvested RSUs will vest in accordance with the terms of the initial grant.

F5 · derivative.exercise_date: On May 16, 2022, the Reporting Person was granted 1,232,394 RSUs that were scheduled to vest as follows: 36% on each of May 16, 2023 and May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026. The number of RSUs reported represents 20% of the number of RSUs that was scheduled to vest on May 16, 2023. The remaining unvested RSUs will vest in accordance with the terms of the initial grant.

F5 · derivative.expiration_date: On May 16, 2022, the Reporting Person was granted 1,232,394 RSUs that were scheduled to vest as follows: 36% on each of May 16, 2023 and May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026. The number of RSUs reported represents 20% of the number of RSUs that was scheduled to vest on May 16, 2023. The remaining unvested RSUs will vest in accordance with the terms of the initial grant.

F3 · derivative.underlying_shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A common stock of the Issuer ("Class A Common Stock"). The RSUs will be settled in either Class A Common Stock or cash.

SEC source: 0000899243-22-039612 · doc4.xml · nonDerivative · entry 2

Patel Rasesh M. · CIK 0001735576 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,150

F4 · kind: Reflects shares of Class A Common Stock withheld to cover the Reporting Person's tax liability in connection with the vesting of RSUs.

SEC source: 0000899243-22-039612 · doc4.xml · nonDerivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,732

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 · kind: In connection with the anticipated transactions contemplated by the Agreement and Plan of Merger, dated as of December 6, 2022, entered into by and among Vivint Smart Home, Inc. (the "Issuer"), NRG Energy, Inc. ("Parent"), and Jetson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub will be merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent, the Board of Directors of the Issuer approved the acceleration of the payment of certain equity awards to mitigate certain adverse tax consequences under Section 280G or 4999 of the Internal Revenue Code of 1986, as amended, that could arise in connection with the Merger.

F2 · kind: The accelerated settlement described in this Form 4 is contingent upon the Reporting Person's agreement to repay accelerated compensation amounts if the Reporting Person ceases to be employed with the Issuer prior to the date which his equity award described herein would otherwise vest, subject to any outstanding accelerated vesting provisions.

F3 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A common stock of the Issuer ("Class A Common Stock"). The RSUs will be settled in either Class A Common Stock or cash.

SEC source: 0000899243-22-018608 · doc4.xml · derivative · entry 1

Patel Rasesh M. · CIK 0001735576 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,232,394

Underlying: Class A Common Stock · 1,232,394 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock of the Issuer ("Class A Common Stock"). The restricted stock units will be settled in either Class A Common Stock or cash.

F2 · kind: Reflects a grant of restricted stock units that vest as follows: 36% on each of May 16, 2023 and May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026.

F2 · derivative.exercise_date: Reflects a grant of restricted stock units that vest as follows: 36% on each of May 16, 2023 and May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026.

F2 · derivative.expiration_date: Reflects a grant of restricted stock units that vest as follows: 36% on each of May 16, 2023 and May 16, 2024 and 14% on each of May 16, 2025 and May 16, 2026.