SEC Form 4 · accession 0001140361-18-013044
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 8, 2018
Accepted (ET)
Mar 12, 2018 · 4:38 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 | Mar 8, 2018 | M | 9,700 | — | A | 96,958 | D | |
| Common StockF3,F4 | Mar 8, 2018 | F | 3,621 | $13.47 | D | 93,337 | 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,F5 | — | Mar 8, 2018 | M | 9,700 | D | — | — | Common Stock | 9,700 | 84,712 | D |
Explanation of responses
- F1Each restricted stock unit is the economic equivalent of one share of Dynegy Inc. common stock.
- F2These restricted stock units were withheld to pay the taxes applicable to the vesting of 9,700 units of restricted stock on March 8, 2018.
- F3Reflects closing stock price on March 8, 2018.
- F4Amount includes 24,730 restricted stock units that vest in two annual equal installments beginning on March 1, 2019.
- F5On March 8, 2016, the reporting person was granted 29,101 restricted stock units representing the contingent right to receive for each restricted stock unit one share of Dynegy Inc. common stock or the cash equivalent of one share of common stock. The restricted stock units vest in three annual equal installments which began on March 8, 2017.