SEC Form 4 · accession 0001140361-16-058266

DYNEGY INC. · DYN

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

Reporting owner

Director

Period of report

Mar 16, 2016

Accepted (ET)

Mar 17, 2016 · 5:21 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001379895

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Mandatory Convertible Preferred Stock^F1,F2	—	Mar 16, 2016	P	2,800	A	Mar 16, 2016	Nov 1, 2017	Common Stock	—	10,404	D
Series A Mandatory Convertible Preferred Stock^F1,F2	—	Mar 16, 2016	P	3,549	A	Mar 16, 2016	Nov 1, 2017	Common Stock	—	13,953	D
Series A Mandatory Convertible Preferred Stock^F1,F2	—	Mar 16, 2016	P	760	A	Mar 16, 2016	Nov 1, 2017	Common Stock	—	14,713	D

F1On the mandatory conversion date, each share of the Mandatory Convertible Preferred Stock, unless previously converted, will automatically convert into shares of the Company's common stock.
F2The conversion rate for each share of the Mandatory Convertible Preferred Stock will not be more than 3.2258 shares of the Company's common stock and not less than 2.5806 shares of the Company's stock, depending on the Applicable Market Value of the common stock and subject to certain anti-dilution adjustments.