SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
|
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
12/05/2003
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3. Issuer Name and Ticker or Trading Symbol
NRG ENERGY INC
[ NRGEV.PK ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
| Indirect Beneficial Owner |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
| X |
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Common Stock |
20,320,808 |
I
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See footnote |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
| 520 MADISON AVENUE |
| 9TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
|
|
| Remarks: |
|
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/s/ Mark R. Patterson, as member for MatlinPatterson LLC |
12/15/2003 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
5
(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). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| 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 Number. |
Exhibit 99.1
Reporting Person: MatlinPatterson LLC
Issuer Name and Ticker Symbol: NRG Energy, Inc. (NRGEV.PK)
Date of Event Requiring Statement: 12/5/03
Joint Filer Information
Each of the following filers have designated MatlinPatterson LLC as the
("Designated Filer") for purposes of the attached Form 3.
(1) MatlinPatterson Asset Management LLC
520 Madison Avenue
New York New York 10022
(2) MatlinPatterson Global Opportunities Partners L.P.
520 Madison Avenue
New York New York 10022
(3) MatlinPatterson Global Opportunities Partners (Bermuda) L.P.
520 Madison Avenue
New York New York 10022
(4) MatlinPatterson Global Partners LLC
520 Madison Avenue
New York New York 10022
(5) MatlinPatterson Global Advisers LLC
520 Madison Avenue
New York New York 10022
(6) David J. Matlin
520 Madison Avenue
New York New York 10022
(7) Mark R. Patterson
520 Madison Avenue
New York New York 10022
Date: December 15, 2003 MATLINPATTERSON ASSET MANAGEMENT LLC
By: /s/ Mark R. Patterson
----------------------------------------
Name: Mark R. Patterson
Title: Chairman
Date: December 15, 2003 MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS L.P.
By: MatlinPatterson Global Partners LLC
as general partner
By: /s/ Mark R. Patterson
----------------------------------------
Name: Mark R. Patterson
Title: Director
Date: December 15, 2003 MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS (BERMUDA) L.P.
By: MatlinPatterson Global Partners LLC
as general partner
By: /s/ Mark R. Patterson
----------------------------------------
Name: Mark R. Patterson
Title: Director
Date: December 15, 2003 MATLINPATTERSON GLOBAL PARTNERS LLC
By: /s/ Mark R. Patterson
----------------------------------------
Name: Mark R. Patterson
Title: Director
Date: December 15, 2003 MATLINPATTERSON GLOBAL ADVISERS LLC
By: /s/ Mark R. Patterson
----------------------------------------
Name: Mark R. Patterson
Title: Chairman
Date: December 15, 2003 DAVID J. MATLIN
By: /s/ David J. Matlin
----------------------------------------
Name: David J. Matlin
Date: December 15, 2003 MARK R. PATTERSON
By: /s/ Mark R. Patterson
----------------------------------------
Name: Mark R. Patterson
