SEC Form 4 · accession 0001140361-17-040955
DYNEGY INC. · DYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Lee Kuersteiner
Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 4:05 pm 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 StockF1,F2 | Nov 1, 2017 | C | 22,932 | — | A | 58,443 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Mandatory Convertible Preferred StockF1 | — | Nov 1, 2017 | C | 7,109 | D | — | — | Common Stock | 22,932 | 0 | D |
Explanation of responses
- F1The reporting person's shares of Series A Mandatory Convertible Preferred Stock were mandatorily converted on November 1, 2017 (the "Mandatory Conversion Date") pursuant to the terms of the Certificate of Designation. On the Mandatory Conversion Date each share of preferred stock was automatically converted into 3.2258 shares of the Company's Common Stock.
- F2Amount includes 15,152 restricted stock units that vest on May 18, 2018.