SEC Form 4 · accession 0001140361-18-011993
DYNEGY INC. · DYN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Clinton Walden
Officer — VP and Chief Acct Officer
Period of report
Mar 1, 2018
Accepted (ET)
Mar 5, 2018 · 4:44 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 | Mar 1, 2018 | M | 7,170 | — | A | 16,396 | D | |
| Common StockF2 | Mar 1, 2018 | D | 7,170 | $12.34 | D | 9,226 | 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 UnitsF1 | — | Mar 1, 2018 | M | 7,170 | D | — | — | Common Stock | 7,170 | 37,820 | D |
Explanation of responses
- F1Each restricted stock unit is the economic equivalent of one share of Dynegy Inc. common stock. The restricted stock units become payable in cash after the vesting date. On March 1, 2018, 7,170 restricted stock units vested and were settled in cash based upon the closing stock price of $12.34 on March 1, 2018.
- F2Amount includes 963 restricted stock units that vest on March 3, 2018.