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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Miskovic Maureen NRG ENERGY, INC. 211 CARNEGIE CENTER PRINCETON, NJ 08540 |
X |
/s/Tanuja M. Dehne, under Power of Attorney | 06/04/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents Deferred Stock Units issued to Ms. Miskovic by NRG Energy, Inc. under NRG Energy, Inc.'s Long Term Incentive Plan. |
(2) | Ms. Miskovic elected to receive Deferred Stock Units in lieu of the cash portion of her compensation. 1,801 Deferred Stock Units of the 3,602 units represent the cash portion of Ms. Miskovic's compensation. |
(3) | Each Deferred Stock Unit is equivalent in value to one share of NRG Energy, Inc.'s Common Stock, par value $0.01. Ms. Miskovic will receive from NRG Energy, Inc. one such share of Common Stock for each Deferred Stock Unit she owns upon termination of her service on NRG Energy, Inc.'s Board of Directors. |
(4) | On May 2, 2007, NRG Energy, Inc. announced a 2-for-1 stock split, in the form of a stock dividend paid on May 31, 2007 to all holders of record of Common Stock on May 22, 2007, which resulted in Ms. Miskovic's ownership of 6,134 additional shares of Common Stock. The Company?s Common Stock began trading on a split-adjusted basis on June 1, 2007. |