Document:

Exhibit
4.1

 

	
  

  	
  THIS CERTIFIES
  THAT is the owner of CUSIP DATED COUNTERSIGNED AND REGISTERED: COMPUTERSHARE
  TRUST COMPANY, N.A. TRANSFER AGENT AND REGISTRAR, FULLY-PAID AND
  NON-ASSESSABLE SHARES OF THE COMMON STOCK OF GenOn Energy, Inc. (hereinafter
  called the “Company”), transferable on the books of the Company in person or
  by duly authorized attorney, upon surrender of this Certificate properly
  endorsed. This Certificate is not valid unless countersigned and registered
  by the Transfer Agent and Registrar. Witness the facsimile signatures of the
  duly authorized officers of the Company. COMMON STOCK PAR VALUE $0.001 COMMON
  STOCK THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA AND NEW YORK, NY SEE
  REVERSE FOR CERTAIN DEFINITIONS GENON ENERGY, INC. INCORPORATED UNDER THE
  LAWS OF THE STATE OF DELAWARE Chairman and Chief Executive Officer Executive
  Vice President and Corporate Secretary RIGHTS ATTACHED TO THIS CERTIFICATE
  DESCRIBED ON REVERSE. By AUTHORIZED SIGNATURE 016570|
  003590|127C|RESTRICTED||4|057-423 37244E 10 7 <<Month Day, Year>>
  * * 600620* * * * * * * * * 600620* * * * * * * * * 600620* * * * * * * * *
  600620* * * * * * * * * 600620* * ** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
  David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
  **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
  David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
  **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
  David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
  **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
  David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
  **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
  David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
  **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
  David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
  **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
  David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
  **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
  Alexander David Sample **** Mr. Alexander David Sample **** Mr. Sample ****
  Mr. Sample
  **600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares***
  *600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****
  600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****6
  00620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****60
  0620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600
  620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares***600620**Shares****600620**Shares****60062
  0**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620
  **Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620*
  *Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**
  Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**S
  hares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Sh
  * * * SIX HUNDRED THOUSAND SIX HUNDRED AND TWENTY* * * MR. SAMPLE & MRS.
  SAMPLE & MR. SAMPLE & MRS. SAMPLE NNNNN ZQ 000000 Certificate Numbers
  1234567890/1234567890 1234567890/1234567890 1234567890/1234567890
  1234567890/1234567890 1234567890/1234567890 1234567890/1234567890 Total
  Transaction Num/No. 123456 Denom. 123456 Total 1234567 MR A SAMPLE
  DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 PO BOX 43004, Providence, RI
  02940-3004 CUSIP XXXXXX XX X Holder ID XXXXXXXXXX Insurance Value
  1,000,000.00 Number of Shares 123456 DTC 12345678 123456789012345 Genon

  

 

	
  

  	
  The following
  abbreviations, when used in the inscription on the face of this certificate,
  shall be construed as though they were written out in full according to
  applicable laws or regulations: TEN COM - as tenants in common UNIF GIFT MIN
  ACT- . . . . . . . . . .Custodian . . . . . . . . . . . . . . . TEN ENT - as
  tenants by the entireties under Uniform Gifts to Minors Act . . . . . . . . .
  . . . . JT TEN - as joint tenants with right of survivorship UNIF TRF MIN ACT
  . . . . . . . . . . . . . . .Custodian (until age. . . ). . . . . . . . . . .
  and not as tenants in common (Cust) (Minor) under Uniform Transfers to Minors
  Act. . . . . . . . . . (State) Additional abbreviations may also be used
  though not in the above list. For value received, ____________________________hereby
  sell, assign and transfer unto
  _______________________________________________________________________________________________________________________________
  _______________________________________________________________________________________________________________________________
  _______________________________________________________________________________________________________________________________
  _______________________________________________________________________________________________________________________
  Shares
  _______________________________________________________________________________________________________________________
  Attorney Dated:
  __________________________________________20__________________ Signature:
  ____________________________________________________________ Signature:
  ____________________________________________________________ Notice: The
  signature to this assignment must correspond with the name as written upon
  the face of the certificate, in every particular, without alteration or
  enlargement, or any change whatever. (Cust) (Minor) (State) PLEASE INSERT
  SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE (PLEASE PRINT OR
  TYPEWRITE NAME AND ADDRESS, INCLUDING POSTAL ZIP CODE, OF ASSIGNEE) of the
  capital stock represented by the within Certificate, and do hereby
  irrevocably constitute and appoint to transfer the said stock on the books of
  the within-named Corporation with full power of substitution in the premises.  GENON ENERGY, INC. THE COMPANY WILL
  FURNISH, WITHOUT CHARGE, TO EACH STOCKHOLDER WHO SO REQUESTS THE POWERS,
  DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING, OPTIONAL OR OTHER
  SPECIAL RIGHTS OF EACH CLASS OF STOCK OR SERIES THEREOF OF THE COMPANY, AND
  THE QUALIFICATIONS, LIMITATIONS OR RESTRICTIONS OF SUCH PREFERENCES AND/OR
  RIGHTS. Signature(s) Guaranteed: Medallion Guarantee Stamp THE SIGNATURE(S)
  SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (Banks,
  Stockbrokers, Savings and Loan Associations and Credit Unions) WITH
  MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO
  S.E.C. RULE 17Ad-15. Legend related to the Charter Amendment "THE
  CERTIFICATE OF INCORPORATION, AS AMENDED (THE "CERTIFICATE OF
  INCORPORATION"), OF THE CORPORATION CONTAINS RESTRICTIONS PROHIBITING
  THE TRANSFER (AS DEFINED IN THE CERTIFICATE OF INCORPORATION) OF STOCK OF THE
  CORPORATION (INCLUDING THE CREATION OR GRANT OF CERTAIN OPTIONS, RIGHTS AND
  WARRANTS) WITHOUT THE PRIOR AUTHORIZATION OF THE BOARD OF DIRECTORS OF THE CORPORATION
  (THE "BOARD OF DIRECTORS") IF SUCH TRANSFER AFFECTS THE PERCENTAGE
  OF STOCK OF THE CORPORATION (WITHIN THE MEANING OF SECTION 382 OF THE
  INTERNAL REVENUE CODE OF 1986, AS AMENDED (THE "CODE") AND THE
  TREASURY REGULATIONS PROMULGATED THEREUNDER), THAT IS TREATED AS OWNED BY A
  4.99 PERCENT STOCKHOLDER (AS DEFINED IN THE CERTIFICATE OF INCORPORATION). IF
  THE TRANSFER RESTRICTIONS ARE VIOLATED, THEN THE TRANSFER WILL BE VOID AB
  INITIO AND THE PURPORTED TRANSFEREE OF THE STOCK WILL BE REQUIRED TO TRANSFER
  EXCESS SECURITIES (AS DEFINED IN THE CERTIFICATE OF INCORPORATION) TO THE
  CORPORATION'S AGENT. IN THE EVENT OF A TRANSFER WHICH DOES NOT INVOLVE
  SECURITIES OF THE CORPORATION WITHIN THE MEANING OF THE GENERAL CORPORATION
  LAW OF THE STATE OF DELAWARE ("SECURITIES") BUT WHICH WOULD VIOLATE
  THE TRANSFER RESTRICTIONS, THE PURPORTED TRANSFEREE (OR THE RECORD OWNER) OF
  THE SECURITIES WILL BE REQUIRED TO TRANSFER SUFFICIENT SECURITIES PURSUANT TO
  THE TERMS PROVIDED FOR IN THE CORPORATION'S CERTIFICATE OF INCORPORATION TO
  CAUSE THE 4.99 PERCENT STOCKHOLDER TO NO LONGER BE IN VIOLATION OF THE
  TRANSFER RESTRICTIONS. THE CORPORATION WILL FURNISH WITHOUT CHARGE TO THE
  HOLDER OF RECORD OF THIS CERTIFICATE A COPY OF THE CERTIFICATE OF
  INCORPORATION, CONTAINING THE ABOVE-REFERENCED TRANSFER RESTRICTIONS, UPON
  WRITTEN REQUEST TO THE CORPORATION AT ITS PRINCIPAL PLACE OF BUSINESS."
  Legend related to the Amended Rights Agreement This certificate also
  evidences and entitles the holder hereof to certain Rights as set forth in
  the Rights Agreement between Reliant Resources, Inc. (the
  "Company") and Computershare Trust Company, N.A., as successor
  rights agent to The Chase Manhattan Bank (the "Rights Agent") dated
  as of January 15, 2001 and amended on November 23, 2010, as it may from time
  to time be further supplemented or amended (the "Rights
  Agreement"), the terms of which are hereby incorporated herein by
  reference and a copy of which is on file at the principal offices of the
  Company. Under certain circumstances, as set forth in the Rights Agreement,
  such Rights may be redeemed, may be exchanged, may expire or may be evidenced
  by separate certificates and will no longer be evidenced by this certificate.
  The Company will mail to the holder of this certificate a copy of the Rights
  Agreement, as in effect on the date of mailing, without charge promptly after
  receipt of a written request therefor. UNDER CERTAIN CIRCUMSTANCES SET FORTH
  IN THE RIGHTS AGREEMENT, RIGHTS BENEFICIALLY OWNED BY OR TRANSFERRED TO ANY
  PERSON WHO IS, WAS OR BECOMES AN ACQUIRING PERSON OR AN AFFILIATE OR
  ASSOCIATE THEREOF (AS SUCH TERMS ARE DEFINED IN THE RIGHTS AGREEMENT), AND
  CERTAIN TRANSFEREES THEREOF, WILL BECOME NULL AND VOID AND WILL NO LONGER BE
  TRANSFERABLE.Exhibit 10.1

 

GENON ENERGY, INC.
 2010 OMNIBUS INCENTIVE PLAN

 

2012 RESTRICTED STOCK UNIT AWARD AGREEMENT

 

To:                             Edward R. Muller

 

Congratulations on your selection as a recipient of restricted stock units (“Restricted Stock Units”) under the GenOn Energy, Inc. 2010 Omnibus Incentive Plan (the “Plan”).  The employment agreement between you and the Company dated April 11, 2010 (the “Employment Agreement”), this Award Agreement (“Agreement”) and the Plan together govern your rights and set forth all of the conditions and limitations affecting such rights.

 

Terms used in this Agreement that are defined in the Plan will have the meanings ascribed to them in the Plan and terms used that are defined in the Employment Agreement will have the meanings ascribed to them in the Employment Agreement.

 

1.                                      Terms.  Pursuant to the terms and conditions of the Plan and this Agreement, you have been granted Restricted Stock Units as outlined below:

 

	
Grant   Date:
    	
 
    	
February 27,   2012
    
	
 
    	
 
    	
 
    
	
Number   of Restricted Stock Units:
    	
 
    	
511,681
    

 

2.                                      Vesting.  Except as provided in Section 3 below, the Restricted Stock Units will vest on the following dates (each such date, a “Vesting Date”):

 

170,560 Restricted Stock Units on February 27, 2013;

 

170,560 Restricted Stock Units on February 27, 2014; and

 

170,561 Restricted Stock Units on February 27, 2015

 

3.                                      Impact of Change in Employment Status.

 

(i)                                  Termination Without Cause or for Good Reason, Death, Disability or Retirement.  In the event your employment with the Company is terminated (i) by the Company without Cause, (ii) by you for Good Reason or (iii) as a result of your death, Disability or Retirement, all Restricted Stock Units that have not already vested as of the date of such termination shall vest immediately.

 

(ii)                              Termination for Cause, Voluntary Resignation Without Good Reason.  In the event of your termination of employment with the Company (i) by the Company for Cause or (ii) by reason of your resignation from the Company for any reason other than for Good Reason (or other than due to your death, Disability or Retirement), all Restricted Stock Units that have not already vested as of the date of such termination will be forfeited.

 

(iii)                            Termination in Connection with a Change in Control.  In the event your employment with the Company is terminated in connection with a Change in Control as provided in the Employment Agreement, all Restricted Stock Units that have not already vested as of the date of such termination shall vest immediately.

 

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4.                                      Book Entry Account.  Within a reasonable time after the date of this Agreement, the Company shall instruct its transfer agent or stock plan administrator to establish a book entry account representing the Restricted Stock Units in your name effective as of the Grant Date, provided that the Company shall retain control of such account until the Restricted Stock Units have become vested in accordance with this Agreement and shares of Common Stock have been issued in settlement of the Restricted Stock Units.

 

5.                                    Distribution of Shares.  Consistent with the provisions of Section 3 of this Award and except as provided in the following sentence, on the day following your termination of employment with the Company, you (or in the event of your death or incapacity in connection with a Disability, your executor, administrator, trustee, guardian or other duly appointed legal representative, as the case may be) will receive one share of the Company’s Common Stock, as provided in Section 1 above in satisfaction of each Restricted Stock Unit credited to your account under Section 4 above and vested either theretofore or by reason of the event resulting in such termination.  Notwithstanding the foregoing, to the extent required to comply with Section 409A of the Internal Revenue Code of 1986, as amended (the “Code”) and the applicable regulations and guidance thereunder, any distribution of shares of Common Stock under this Award shall be delayed to the first day after the six-month anniversary of your separation from service, as defined in Code Section 409A and the applicable regulations and guidance thereunder.

 

6.                                      Stockholder Rights; Dividend Equivalents.  The Restricted Stock Units do not confer on you any rights of a stockholder of the Company unless and until shares of Common Stock are in fact issued to you in connection with the vested Restricted Stock Units.  However, if and when cash dividends or other cash distributions are paid or distributed with respect to the Common Stock while the Restricted Stock Units are outstanding, the dollar amount of such dividends or distributions with respect to the number of shares of Common Stock then underlying the Restricted Stock Units shall be reflected in your account.  Any such cash dividends or other cash distributions shall vest and be paid in cash if and at such times the underlying Restricted Stock Units are vested and paid.

 

7.                                      Transferability.  No rights granted under this Agreement can be assigned or transferred, whether voluntarily or involuntarily, by operation of law or otherwise, except by will or the laws of descent and distribution.  In the event of any transfer or assignment of rights granted under this Agreement in accordance with this Section 7, the person or persons, if any, to whom such rights are transferred by will or by the laws of descent and distribution shall be treated after your death the same as you under this Agreement.  Any attempted transfer or assignment of rights under this Agreement prohibited under this Section 7 shall be null and void.

 

8.                                      Withholding; Code Section 409A.  The Company has the right to deduct applicable taxes from any payment under this Agreement and withhold, at the time the tax and withholding obligation arises, an appropriate number of shares of Common Stock for payment of required withholding taxes or to take such other action as may be necessary in the opinion of the Company to satisfy all obligations for withholding of such taxes. The Fair Market Value of the shares of Common Stock withheld for payment of required withholding taxes must equal no more than the required minimum withholding taxes.  The Restricted Stock Units granted under this Agreement are intended to comply with or be exempt from Code Section 409A, and ambiguous provisions of this Agreement, if any, shall be construed and interpreted in a manner consistent with such intent.

 

9.                                      Employment Agreement and Plan Provisions.  In addition to the terms and conditions set forth herein, this Award is subject to and governed by the terms and conditions set forth in the Employment Agreement and in the Plan, which are incorporated herein by reference.  In the event of any conflict between the provisions of this Award or the Plan and the Employment Agreement, the Employment Agreement shall control.

 

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10.                               Notice.  Any written notice required or permitted by this Agreement shall be mailed, certified mail (return receipt requested) or hand-delivered.  Notice to the Company shall be addressed to the Company’s General Counsel at 1000 Main St., Houston, TX 77002.  Notice to you shall be addressed to you at your most recent home address on record with the Company.  Notices are effective upon receipt.

 

11.                               Requirements of Law.  The granting of Restricted Stock Units and the issuance of shares of Common Stock under the Plan will be subject to all applicable laws, rules, and regulations, and to such approvals by any governmental agencies or national securities exchanges as may be required.

 

12.                               Miscellaneous.

 

a.                                      Limitation of Rights.  The granting of this Award shall not give you any rights to similar grants in future years or any right to be retained in the employ or service of the Company or its Subsidiaries or interfere in any way with the right of the Company or any such Subsidiary to terminate your services at any time, or your right to terminate your services at any time.

 

b.                                      Severability.  If any term, provision, covenant or restriction contained in this Agreement is held by a court or a federal regulatory agency of competent jurisdiction to be invalid, void or unenforceable, the remainder of the terms, provisions, covenants and restrictions contained in this Agreement shall remain in full force and effect, and shall in no way be affected, impaired or invalidated.

 

c.                                       Governing Law.  All issues and questions concerning the construction, validity, enforcement and interpretation of this Agreement shall be governed by, and construed in accordance with, the laws of the State of Delaware.

 

13.                               Acceptance of Award.  You are deemed to accept this Award and to agree that it is subject to the terms and conditions set forth in this Agreement and the Plan unless you provide the Company written notification not later than 30 days after the Grant Date of your rejection of this Award (in which case your Award will be forfeited and you shall have no further right or interest therein as of the Grant Date).

 

	
 
    	
GENON   ENERGY, INC.
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
 /s/ Karen D. Taylor
    
	
 
    	
Karen   D. Taylor
    
	
 
    	
Senior   Vice President, Human Resources and Administration
    

 

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