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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 | ||||||||
Stock Option - Right to Buy | $ 8.7 | 12/03/2010 | A | 22,370 | 12/03/2010 | 01/13/2016 | Common Stock | 22,370 | (2) | 22,370 | D | ||||
Stock Option - Right to Buy | $ 8.84 | 12/03/2010 | A | 22,005 | 12/03/2010 | 02/17/2016 | Common Stock | 22,005 | (3) | 22,005 | D | ||||
Stock Option - Right to Buy | $ 13.31 | 12/03/2010 | A | 29,957 | 12/03/2010 | 03/08/2012 | Common Stock | 29,957 | (4) | 29,957 | D | ||||
Stock Option - Right to Buy | $ 13.06 | 12/03/2010 | A | 44,489 | 12/03/2010 | 03/07/2013 | Common Stock | 44,489 | (5) | 44,489 | D | ||||
Stock Option - Right to Buy | $ 3.67 | 12/03/2010 | A | 81,058 | 12/03/2010 | 03/03/2019 | Common Stock | 81,058 | (6) | 81,058 | D | ||||
Stock Option - Right to Buy | $ 4.66 | 12/03/2010 | A | 101,957 | 12/03/2010 | 03/11/2020 | Common Stock | 101,957 | (7) | 101,957 | D | ||||
Warrants | $ 21.87 | 12/03/2010 | A | 212 | 12/03/2010 | 01/03/2011 | Common Stock | 601 | (8) | 212 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOLDEN J WILLIAM III 1000 MAIN STREET HOUSTON, TX 77002 |
CFO |
/s/ J. William Holden III | 12/07/2010 | |
**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) | Received in exchange for 60,487 shares of common stock of Mirant Corporation ("Mirant") pursuant to the Agreement and Plan of Merger by and among Mirant, RRI Energy Holdings, Inc. and RRI Energy, Inc., now known as GenOn Energy, Inc. (the "Merger Agreement") based on the exchange ratio in the Merger Agreement. |
(2) | Received pursuant to the Merger Agreement in exchange for stock options to acquire 7,891 shares of Mirant common stock for $24.64 per share. |
(3) | Received pursuant to the Merger Agreement in exchange for stock options to acquire 7,762 shares of Mirant common stock for $25.05 per share. |
(4) | Received pursuant to the Merger Agreement in exchange for stock options to acquire 10,567 shares of Mirant common stock for $37.71 per share. |
(5) | Received pursuant to the Merger Agreement in exchange for stock options to acquire 15,693 shares of Mirant common stock for $37.02 per share. |
(6) | Received pursuant to the Merger Agreement in exchange for stock options to acquire 28,592 shares of Mirant common stock for $10.40 per share. |
(7) | Received pursuant to the Merger Agreement in exchange for stock options to acquire 35,964 shares of Mirant common stock for $13.19 per share. |
(8) | Received pursuant to the Merger Agreement in exchange for warrants to acquire 212 shares of Mirant common stock for $21.87 per share. |