SEC Form 4 · accession 0001140361-18-011300
DYNEGY INC. · DYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julius Cox
Officer — EVP
Period of report
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 5:08 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 | holding | — | — | — | 42,103 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Feb 27, 2018 | A | 54,541 | A | — | — | Common Stock | 54,541 | 65,627 | D |
Explanation of responses
- F1Amount includes 2,334 restricted stock units that vest on March 3, 2018 and 23,567 restricted stock units that vest in three annual equal installments beginning on March 1, 2018.
- F2The grants of the restricted stock units were approved by a committee of the Issuer's Board of Directors on February 27, 2018.
- F3Restricted 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 or the cash equivalent of one share of common stock. Subject to certain exceptions as described in the award agreements, the restricted stock units vest in three annual equal installments beginning on February 27, 2019. The settlement of such units are anticipated to be settled in cash.