SEC Form 4 · accession 0001140361-18-018147

DYNEGY INC. · DYN

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

Reporting owner

Julius Cox

Officer — EVP

Period of report

Apr 9, 2018

Accepted (ET)

Apr 11, 2018 · 10:44 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	41,300	—	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	13,754	D	—	—	Common Stock	13,754	D
Common Stock Option (Right to Buy)^F3	$23.10	Apr 9, 2018	D	4,730	D	—	—	Common Stock	4,730	D
Common Stock Option (Right to Buy)^F4	$23.03	Apr 9, 2018	D	8,672	D	—	—	Common Stock	8,672	D
Common Stock Option (Right to Buy)^F5	$27.24	Apr 9, 2018	D	17,313	D	—	—	Common Stock	17,313	D
Common Stock Option (Right to Buy)^F6	$11.05	Apr 9, 2018	D	30,035	D	—	—	Common Stock	30,035	D
Common Stock Option (Right to Buy)^F7	$8.02	Apr 9, 2018	D	36,389	D	—	—	Common Stock	36,389	D
Restricted Stock Units^F8	—	Apr 9, 2018	D	60,084	D	—	—	Common Stock	60,084	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 8,967 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 3,085 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 5,654 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 11,288 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 19,582 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 23,725 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.