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*
| NRG YIELD, INC. |
| 804 CARNEGIE CENTER |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
11/07/2016
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3. Issuer Name and Ticker or Trading Symbol
NRG Yield, Inc.
[ NYLD ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
|
SVP and CFO
|
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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)
| X |
Form filed by One Reporting Person |
|
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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| Class A Common Stock, par value $.01 per share |
1,467 |
D |
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| Class C Common Stock, par value $.01 per share |
209 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 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 |
| Explanation of Responses: |
| Remarks: |
|
|
/s/ Brian Curci, by Power of Attorney |
11/07/2016 |
|
** 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. |
September 23, 2016
POWER OF ATTORNEY
KNOW ALL BY THESE PRESENTS, that the undersigned
hereby constitutes and appoints each of Christopher Sotos
and Brian Curci, signing singly, the undersigned's
true and lawful attorney-in-fact to: (i) execute for
and on behalf of the undersigned, in the
undersigned's capacity as an officer and/or director
and/or owner of greater than 10% of the outstanding
Common Stock of NRG Yield, Inc., a Delaware
corporation (the "Company"), Forms 3, 4, and 5 in
accordance with Section 16(a) of the Securities
Exchange Act of 1934 and the rules thereunder; (ii)
do and perform any and all acts for and on behalf of
the undersigned which may be necessary or desirable
to complete and execute any such Form 3, 4, or 5 and
timely file such form with the United States
Securities and Exchange Commission and any stock
exchange or similar authority, including the New
York Stock Exchange; and (iii) take any other action
of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-
fact, may be of benefit to, in the best interest of,
or legally required by, the undersigned, it being
understood that the documents executed by such
attorney-in-fact on behalf of the undersigned
pursuant to this Power of Attorney shall be in such
form and shall contain such terms and conditions as
such attorney-in-fact may approve in such attorney-
in-fact's discretion.
The undersigned hereby grants to each such attorney-
in-fact full power and authority to do and perform
any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of
any of the rights and powers herein granted, as
fully to all intents and purposes as the undersigned
might or could do if personally present, with full
power of substitution or revocation, hereby
ratifying and confirming all that such attorney-in-
fact's substitute or substitutes, shall lawfully do
or cause to be done by virtue of this power of
attorney and the rights and powers herein granted.
Each of the undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such
capacity at the request of the undersigned, are not
assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with
Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force
and effect until the undersigned is no longer
required to file Forms 3, 4, and 5 with respect to
the undersigned's holdings of and transactions in
securities issued by the Company, unless earlier
revoked by each of the undersigned in a signed
writing delivered to the foregoing attorneys-in-
fact.
IN WITNESS WHEREOF, the undersigned have caused this
Power of Attorney to be executed as of date first
written above.
/s/ Chad Plotkin
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