SEC Form 4 · accession 0001140361-18-018144

DYNEGY INC. · DYN

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

Reporting owner

Catherine C. James

Officer — EVP and General Counsel

Period of report

Apr 9, 2018

Accepted (ET)

Apr 11, 2018 · 10:40 am 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	Apr 9, 2018	D	93,337	—	D	0	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Common Stock Option (Right to Buy)^F2	$18.70	Apr 9, 2018	D	70,215	D	—	—	Common Stock	70,215	D
Common Stock Option (Right to Buy)^F3	$23.10	Apr 9, 2018	D	27,028	D	—	—	Common Stock	27,028	D
Common Stock Option (Right to Buy)^F4	$23.03	Apr 9, 2018	D	33,841	D	—	—	Common Stock	33,841	D
Common Stock Option (Right to Buy)^F5	$27.24	Apr 9, 2018	D	28,590	D	—	—	Common Stock	28,590	D
Common Stock Option (Right to Buy)^F6	$11.05	Apr 9, 2018	D	52,561	D	—	—	Common Stock	52,561	D
Common Stock Option (Right to Buy)^F7	$8.02	Apr 9, 2018	D	57,278	D	—	—	Common Stock	57,278	D
Restricted Stock Units^F8	—	Apr 9, 2018	D	84,712	D	—	—	Common Stock	84,712	D

Explanation of responses

F1Disposed of pursuant to the closing of the merger on April 9, 2018 (the "Effective Date") between Issuer and Vistra Energy Corp. (the "Merger") in exchange for 0.652 shares of Vistra Corp. stock having a market value of $20.83, closing price, per share on the Effective Date of the Merger.
F2This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 45,780 shares of Vistra common stock for $28.68. The option will expire pursuant to the terms of the grant agreement.
F3This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 17,622 shares of Vistra common stock for $35.43. The option will expire pursuant to the terms of the grant agreement.
F4This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 22,064 shares of Vistra common stock for $35.32. The option will expire pursuant to the terms of the grant agreement.
F5This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 18,640 shares of Vistra common stock for $41.78. The option will expire pursuant to the terms of the grant agreement.
F6This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 34,269 shares of Vistra common stock for $16.95. The option will expire pursuant to the terms of the grant agreement.
F7This option was assumed by Vistra Corp. in the Merger and replaced with an option to purchase 37,345 shares of Vistra common stock for $12.30. The option will expire pursuant to the terms of the grant agreement.
F8Restricted Stock Units convert into common stock on a one-for-one basis. Disposed of pursuant to the Merger in exchange for 0.652 shares of Vistra Restricted Stock Units having a market value of $20.83, closing price, per share on the Effective Date of the Merger. The Restricted Stock Units will vest pursuant to the terms of the Grant Agreements.