SEC Form 4 · accession 0001140361-16-057344
DYNEGY INC. · DYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Clinton Walden
Officer — VP and Chief Acct Officer
Period of report
Mar 8, 2016
Accepted (ET)
Mar 10, 2016 · 5:26 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 StockF1 | holding | — | — | — | 10,331 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2,F3 | $0.00 | Mar 8, 2016 | A | 12,872 | A | — | Mar 8, 2026 | Common Stock | 12,872 | 12,872 | D |
| Restricted Stock UnitsF4,F5 | — | Mar 8, 2016 | A | 7,127 | A | — | — | Common Stock | 7,127 | 7,127 | D |
Explanation of responses
- F1Amount includes 1,506 restricted stock units that vest on March 18, 2016, 1,158 restricted stock units that vest on March 3, 2017and 1,927 restricted stock units that vest in two annual equal installments beginning on March 3, 2017.
- F2The grants of stock options were approved by a committee of the Issuer's Board of Directors on March 8, 2016.
- F3Option grant pursuant to Rule 16b-3(d). The option becomes exercisable in three annual equal installments beginning on March 8, 2017.
- F4The grants of the restricted stock units were approved by a committee of the Issuer's Board of Directors on March 8, 2016.
- F5Restricted stock unit grant pursuant to Rule 16(b)-3(d). Each restricted stock unit represents a contingent right to receive one share of Dynegy Inc. common stock, if available, or the economic cash equivalent of one share of common stock. The restricted stock units vest in three annual equal installments beginning on March 8, 2017.