SEC Form 4 · accession 0001140361-15-010512

DYNEGY INC. · DYN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Exec. VP and CFO

Period of report

Mar 3, 2015

Accepted (ET)

Mar 5, 2015 · 5:05 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001379895

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Mar 3, 2015	A	14,134	$0.00	A	71,736	D
Common Stock^F4,F5	Mar 3, 2015	F	2,037	$27.24	D	69,699	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F6,F7	$27.24	Mar 3, 2015	A	34,943	A	—	Mar 3, 2025	Common Stock	34,943	34,943	D

F1The grants of the restricted stock units were approved by a committee of the Issuer's Board of Directors on March 3, 2015.
F2Restricted stock unit grant pursuant to Rule 16b-3(d). Each restricted stock unit represents a contingent right to receive one share of Dynegy Inc. common stock. The restricted stock units vest in three annual equal installments beginning on March 3, 2016.
F3These restricted stock units were withheld by Issuer to pay the taxes applicable to the vesting of 4,777 units of restricted stock on March 3, 2015.
F4Reflects closing stock price on March 3, 2015.
F5Amount includes 9,024 restricted stock units that vest on October 29, 2015, 14,430 restricted stock units that vest in two annual equal installments beginning on March 18, 2015, 9,553 restricted stock units that vest in two annual equal installments beginning on March 3, 2016 and 14,134 restricted stock units that vest in three annual equal installments beginning on March 3, 2016.
F6The grants of the stock options were approved by a committee of the Issuer's Board of Directors on March 3, 2015.
F7Option grant pursuant to rule 16b-3(d). The option becomes exercisable in three annual equal installments beginning March 3, 2016.