SEC Form 4 · accession 0001140361-17-010604
DYNEGY INC. · DYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Catherine C. James
Officer — Exec VP and General Counsel
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 5:23 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,F3 | Mar 1, 2017 | A | 37,095 | $0.00 | A | 91,479 | 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)F4,F5 | $8.02 | Mar 1, 2017 | A | 57,278 | A | — | Mar 1, 2027 | Common Stock | 57,278 | 57,278 | D |
Explanation of responses
- F1The grants of the restricted stock units were approved by a committee of the Issuer's Board of Directors on March 1, 2017.
- F2Restricted stock unit grant pursuant to Rule 16b-3(d). Each restricted stock unit represents a contingent right to receive one share of Dynegy Inc. common stock. The restricted stock units vest in three annual equal installments beginning on March 1, 2017.
- F3Amount includes 4,631 restricted stock units that vest on March 3, 2017 and 7,709 restricted stock units that vest in two annual equal installments beginning on March 3, 2017.
- F4The grants of the stock options were approved by a committee of the Issuer's Board of Directors on March 1, 2017.
- F5Option grant pursuant to rule 16b-3(d). The option becomes exercisable in three annual equal installments beginning March 1, 2018.