SEC Form 4 · accession 0001140361-16-057362

DYNEGY INC. · DYN

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

Reporting owner

Officer — President and CEO · Director

Period of report

Mar 8, 2016

Accepted (ET)

Mar 10, 2016 · 5:37 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	holding	—	—		—	426,043	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)^F2,F3	$0.00	Mar 8, 2016	A	311,785	A	—	Mar 8, 2026	Common Stock	311,785	311,785	D
Restricted Stock Units^F4,F5	—	Mar 8, 2016	A	172,625	A	—	—	Common Stock	172,625	172,625	D

F1Amount includes 21,645 restricted stock units that vest on March 18, 2016, 19,105 restricted stock units that vest on March 3, 2016, 40,174 restricted stock units that vest in two annual equal installments beginning on March 3, 2017 and 153, 563 restricted stock units that vest on April 30, 2018.
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 16(b)-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 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.