Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(AMENDMENT NO. 4)
NRG ENERGY, INC.
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
(Title of Class of Securities)
629377508
(CUSIP Number)
MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS L.P.
MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS (BERMUDA) L.P.
MATLINPATTERSON GLOBAL ADVISERS LLC
MATLINPATTERSON GLOBAL PARTNERS LLC
MATLINPATTERSON ASSET MANAGEMENT LLC
MATLINPATTERSON LLC
MARK R. PATTERSON
DAVID J. MATLIN
(Name of Persons Filing)
ROBERT WEISS
MATLINPATTERSON GLOBAL ADVISERS LLC
520 MADISON AVENUE
NEW YORK, NEW YORK 10022
TELEPHONE: (212) 651-9525
(Name, Address and Telephone Number of
Person Authorized to Receive Notices
and Communications)
March 22, 2005
(Date of Event which Requires Filing of
this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box [_].
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP No. 629377508 3
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS L.P.
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: -0-
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: -0-
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
-0-
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: PN
--------------------------------------------------------------------------------
CUSIP No. 629377508 4
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS (BERMUDA) L.P.
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: BERMUDA
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: -0-
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: -0-
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
-0-
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: PN
--------------------------------------------------------------------------------
CUSIP No. 629377508 5
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
MATLINPATTERSON GLOBAL ADVISERS LLC
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: -0-
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: -0-
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
-0-
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: IA
--------------------------------------------------------------------------------
CUSIP No. 629377508 6
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
DAVID J. MATLIN
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: -0-
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: -0-
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
-0-
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: IN
--------------------------------------------------------------------------------
CUSIP No. 629377508 7
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
MARK R. PATTERSON
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: 11,294
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: 11,294
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
11,294
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0.01%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: IN
--------------------------------------------------------------------------------
CUSIP No. 629377508 8
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
MATLINPATTERSON GLOBAL PARTNERS LLC
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: -0-
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: -0-
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
-0-
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: HC
--------------------------------------------------------------------------------
CUSIP No. 629377508 9
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
MATLINPATTERSON ASSET MANAGEMENT LLC
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: -0-
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: -0-
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
-0-
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: HC
--------------------------------------------------------------------------------
CUSIP No. 629377508 10
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
MATLINPATTERSON LLC
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: AF, WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(D) OR 2(E):
[_]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------------------------------------------------------
7. SOLE VOTING POWER: -0-
NUMBER OF SHARES
BENEFICIALLY ------------------------------------------------
OWNED BY 8. SHARED VOTING POWER: -0-
EACH
REPORTING ------------------------------------------------
PERSON 9. SOLE DISPOSITIVE POWER: -0-
WITH
------------------------------------------------
10. SHARED DISPOSITIVE POWER: -0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
-0-
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: HC
--------------------------------------------------------------------------------
11
EXPLANATORY NOTE
This Amendment No. 4 ("AMENDMENT NO. 4") to Schedule 13D is
filed by the undersigned to amend and supplement the statement on Schedule 13D
originally filed on December 15, 2003 (the "INITIAL STATEMENT") as amended by
Amendment No. 1 to Schedule 13D filed on January 5, 2004 ("AMENDMENT NO. 1") as
amended by Amendment No. 2 to Schedule 13D filed on December 14, 2004
("AMENDMENT NO. 2,") as amended by Amendment No. 3 to Schedule 13D filed on
December 23, 2004 ("AMENDMENT NO. 3" and together with Amendment No. 2,
Amendment No. 1, the Initial Statement and this Amendment No. 4, the
"STATEMENT") for the purpose of disclosing the sale of securities by the certain
of the Reporting Persons. Unless otherwise indicated, all capitalized terms
shall have the same meaning as provided in the Statement.
ITEM 1. SECURITY AND ISSUER.
No Change.
ITEM 2. IDENTITY AND BACKGROUND.
No Change.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
No Change.
ITEM 4. PURPOSE OF TRANSACTION.
No Change.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 of Amendment No. 3 is hereby amended and supplemented
by deleting it in its entirety and replacing it with the following:
(a) On March 22, 2005, Matlin Partners (Delaware) and
Matlin Partners (Bermuda) sold 6,307,264 and 2,197,780 shares of Common
Stock, respectively, in the open market at a price of $36.00 per share.
This sale did not include 11,294 shares of Common Stock received by
Mark R. Patterson upon his
12
resignation from the Board of Directors of the Company on December 21,
2004. Mark R. Patterson has direct beneficial ownership of these shares
of Common Stock. Following this transaction, except as described in the
immediately preceding two sentences, none of the Reporting Persons
beneficially owns any Common Stock, and accordingly, this Amendment No.
4 is the final amendment to the Schedule 13D and is an exit filing.
(b) Mark R. Patterson has the sole power to vote and sole
dispositive power of 11,294 shares of Common Stock, which represents
less than 5% of the outstanding Common Stock.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO THE COMMON STOCK OF THE ISSUER.
No Change.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
No Change.
13
SIGNATURE
After reasonable inquiry and to the best of its knowledge and
belief, each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
Dated: March 24, 2005
MATLINPATTERSON LLC
By: /s/ Mark R. Patterson
--------------------------------
Name: Mark R. Patterson
Title: Member
MATLINPATTERSON ASSET MANAGEMENT LLC
By: /s/ Mark R. Patterson
--------------------------------
Name: Mark R. Patterson
Title: Chairman
MATLINPATTERSON GLOBAL ADVISERS LLC
By: /s/ Mark R. Patterson
--------------------------------
Name: Mark R. Patterson
Title: Chairman
MATLINPATTERSON GLOBAL PARTNERS LLC
By: /s/ Mark R. Patterson
--------------------------------
Name: Mark R. Patterson
Title: Chairman
14
MATLINPATTERSON GLOBAL
OPPORTUNITIES PARTNERS L.P.
By: MatlinPatterson Global
Partners LLC
By: /s/ Mark R. Patterson
--------------------------------
Name: Mark R. Patterson
Title: Director
MATLINPATTERSON GLOBAL OPPORTUNITIES
PARTNERS (BERMUDA) L.P.
By: MatlinPatterson Global
Partners LLC
By: /s/ Mark R. Patterson
--------------------------------
Name: Mark R. Patterson
Title: Director
DAVID J. MATLIN
By: /s/ David J. Matlin
--------------------------------
David J. Matlin
MARK R. PATTERSON
By: /s/ Mark R. Patterson
--------------------------------
Name: Mark R. Patterson