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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 | ||||||||
Time-Based Cash Units | (2) | 12/03/2010 | M | 237,500 | (2) | (2) | Common Stock | 237,500 | $ 0 | 0 | D | ||||
Performance-Based Cash Units | (3) | 12/03/2010 | M | 96,294 | (3) | (3) | Common Stock | 96,294 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JACOBS MARK M 1000 MAIN STREET 12TH FLOOR HOUSTON, TX 77002 |
President and CEO |
/s/ Allison B. Cunningham, Attorney-in-Fact | 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) | Comprised entirely of restricted stock units that may only be settled in common stock. |
(2) | Each time-based cash unit is the economic equivalent of one share of common stock of GenOn Energy, Inc., formerly known as RRI Energy, Inc. The cash units were paid in cash in connection with the merger (the "Merger") involving Mirant Corporation and GenOn Energy, Inc. based on the fair market value per share of GenOn Energy, Inc. common stock on the date immediately preceding the closing date of the Merger. |
(3) | Each performance-based cash unit is the economic equivalent of one share of common stock of GenOn Energy, Inc. The performance-based cash units were paid in cash in connection with the Merger based on the fair market value per share of GenOn Energy, Inc. common stock on the date immediately preceding the closing date of the Merger. |