SEC Form 4 · accession 0001140361-18-013050

DYNEGY INC. · DYN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP and COO

Period of report

Mar 8, 2018

Accepted (ET)

Mar 12, 2018 · 4:42 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 Stock^F1	Mar 8, 2018	M	6,113	—	A	50,788	D
Common Stock^F3,F4	Mar 8, 2018	F	2,594	$13.47	D	48,194	D
Common Stock^F6	Mar 8, 2018	M	294	—	A	798	I	Spouse
Common Stock	Mar 8, 2018	D	294	$13.47	D	504	I	Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F5	—	Mar 8, 2018	M	6,113	D	—	—	Common Stock	6,113	73,215	D
Restricted Stock Units^F6	—	Mar 8, 2018	M	294	D	—	—	Common Stock	294	294	I

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 6,113 units of restricted stock on March 8, 2018.
F3Reflects closing stock price on March 8, 2018.
F4Amount includes 20,948 restricted stock units that vest in two annual equal installments beginning on March 1, 2019.
F5On March 8, 2016, the reporting person was granted 18,340 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.
F6Each 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 8, 2018, 294 restricted stock units vested and were settled in cash based upon the closing stock price of $13.47 on March 8, 2018.