SEC Form 4 · accession 0001140361-16-057354
DYNEGY INC. · DYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario E Alonso
Officer — EVP-Strategic Development
Period of report
Mar 8, 2016
Accepted (ET)
Mar 10, 2016 · 5:33 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 | — | — | — | 36,938 | 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 | 38,645 | A | — | Mar 8, 2026 | Common Stock | 38,645 | 38,645 | D |
| Restricted Stock UnitsF4,F5 | — | Mar 8, 2016 | A | 21,396 | A | — | — | Common Stock | 21,396 | 21,396 | D |
Explanation of responses
- F1Amount includes 1,623 restricted stock units that vest on March 18, 2016, 2,026 restricted stock units that vest on March 3, 2017, 5,140 restricted stock units that vest in two annual equal installments beginning on March 3, 2017 and 16,502 restricted stock units that vest in three annual equal installments beginning on April 1, 2016.
- F2The grants of the 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 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 additional shares under the Issuer's Long Term Incentive Plan are approved by stockholders, or, if not approved, the cash equivalent of one share of common stock. The restricted stock units vest in three annual equal installments beginning on March 8, 2017.