Killinger Elizabeth R 的 Form 4 申報
NRG Energy, Inc.（NRG），2022/1/4 申報
- 申報編號
- 0001225208-22-000324
- 申報時間
- 2022/1/4
- 交易日
- 2021/12/21-2022/1/3
- 申報延遲
- 14 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 9 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $140.3 萬。交易後 14 天才申報，超過 2 個營業日的期限。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Killinger Elizabeth RCIK 0001662519 | 高階主管（Exec VP, NRG Home） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/12/21 | Common Stock, par value $.01 per share | G贈與處分 | −3,000 | $0.00 | $0 | 127,492 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | M行使選擇權取得 | +12,825 | $0.00F1 | $0 | 140,317 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | A公司授予取得 | +11,016 | $0.00F2 | $0 | 151,333 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | M行使選擇權取得 | +944 | $0.00F4 | $0 | 152,277 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | F扣股繳稅處分 | −822 | $0.00F5 | $0 | 151,455 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | F扣股繳稅處分 | −830 | $0.00F7 | $0 | 150,625 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | F扣股繳稅處分 | −1,009 | $0.00F9 | $0 | 149,616 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | F扣股繳稅處分 | −3,471 | $0.00F11 | $0 | 146,145 | 直接 | |
| 2022/1/3 | Common Stock, par value $.01 per share | S賣出處分 | −33,000 | $42.53F12 | −$1,403,490 | 113,145 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/2 | Common Stock, par value $.01 per share | M行使選擇權處分 | −944 | $0.00 | $0 | 0 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | M行使選擇權處分 | −12,825 | $0.00 | $0 | 0 | 直接 | |
| 2022/1/2 | Common Stock, par value $.01 per share | A公司授予取得 | +16,784 | $0.00 | $0 | 16,784 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
The Reporting Person was issued 16,031 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 32,062 shares of Common Stock if the company achieved 100% increase in total shareholder return since the grant date (the "Maximum"), 16,031 shares of Common Stock if there is no change in total shareholder return since the grant date (the "Target") or 4,007 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 12,825 shares.
表 I 有 1 筆交易的價格引用這則附註。
- F2
Represents Restricted Stock Units issued to the Reporting Person under NRG Energy, Inc.'s Amended and Restated Long-Term Incentive Plan ("LTIP").
表 I 有 1 筆交易的價格引用這則附註。
- F4
In connection with the vesting of the RPSUs described above, an incremental 944 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 in NRG common stock. Each dividend equivalent right is the economic equivalent of one share of NRG common stock.
表 I 有 1 筆交易的價格引用這則附註。
- F5
On January 2, 2020, the Reporting Person was issued 9,594 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 3,195 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 822 shares of common stock to satisfy the grantee's tax withholding obligation.
表 I 有 1 筆交易的價格引用這則附註。
- F7
On January 2, 2021, the Reporting Person was issued 9,913 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, 2022 3,301 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 830 shares of common stock to satisfy the grantee's tax withholding obligation.
表 I 有 1 筆交易的價格引用這則附註。
- F9
On January 2, 2019, the Reporting Person was issued 9,483 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 3,168 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 1,009 shares of common stock to satisfy the grantee's tax withholding obligation.
表 I 有 1 筆交易的價格引用這則附註。
- F11
In connection with the vesting of the RPSUs described above, an incremental 944 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.
表 I 有 1 筆交易的價格引用這則附註。
- F12
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.
表 I 有 1 筆交易的價格引用這則附註。