SEC Form 4 · accession 0001140361-16-057365

DYNEGY INC. · DYN

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

Reporting owner

Martin W. Daley

Officer — Executive Vice President

Period of report

Mar 8, 2016

Accepted (ET)

Mar 10, 2016 · 5:39 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	—	—		—	17,845	D
Common Stock^F2	holding	—	—		—	859	I	By Fiancee

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)^F3,F4	$0.00	Mar 8, 2016	A	33,124	A	—	Mar 8, 2026	Common Stock	33,124	33,124	D
Restricted Stock Units^F5,F6	—	Mar 8, 2016	A	18,340	A	—	—	Common Stock	18,340	18,340	D
Restricted Stock Units^F5,F7	—	Mar 8, 2016	A	882	A	—	—	Common Stock	882	882	I

Explanation of responses

F1Amount includes 1,299 restricted stock units that vest on March 18, 2016, 1,158 restricted stock units that vest on March 3, 2017 and 4,711 restricted stock units that vest in two annual equal installments beginning on March 3, 2017.
F2Amount includes 115 restricted stock units which vest on March 18, 2016, 130 restricted stock units which vest on March 3, 2017 and 230 restricted stock units which vest in two equal annual installments beginning on March 3, 2017.
F3The grants of stock options were approved by a committee of the Issuer's Board of Directors on March 8, 2016.
F4Option grant pursuant to Rule 16b-3(d). The option becomes exercisable in three annual equal installments beginning on March 8, 2017.
F5The grants of the restricted stock units were approved by a committee of the Issuer's Board of Directors on March 8, 2016.
F6Restricted 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.
F7Restricted 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.