SEC Form 4 · accession 0001140361-16-080672
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
Jun 30, 2016
Accepted (ET)
Sep 26, 2016 · 8:43 am EDT
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 | Jun 30, 2016 | D | 279 | $0.00 | D | 536 | I | by Fiancee |
| Common StockF4 | Jun 30, 2016 | F | 32 | $17.24 | D | 504 | I | by Fiancee |
| Common StockF1 | holding | — | — | — | 17,423 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Amount includes 1,158 restricted stock units that vest on March 3, 2017 and 4,711 restricted stock units which vest in two annual equal installments beginning on March 3, 2017.
- F2These restricted stock units were forfeited upon the retirement of the reporting person's fiancee from the Issuer on June 30, 2016 (the "Retirement Date").
- F3These restricted units were withheld to pay the taxes applicable to the vesting of 81 units of restricted stock on the Retirement Date.
- F4Reflects the closing stock price on June 30, 2016.