0001140361-16-084965.txt : 20161107
0001140361-16-084965.hdr.sgml : 20161107
20161107062747
ACCESSION NUMBER: 0001140361-16-084965
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161104
FILED AS OF DATE: 20161107
DATE AS OF CHANGE: 20161107
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: DYNEGY INC.
CENTRAL INDEX KEY: 0001379895
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911]
IRS NUMBER: 205653152
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 601 TRAVIS, SUITE 1400
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: (713) 507-6400
MAIL ADDRESS:
STREET 1: 601 TRAVIS, SUITE 1400
CITY: HOUSTON
STATE: TX
ZIP: 77002
FORMER COMPANY:
FORMER CONFORMED NAME: Dynegy Inc..
DATE OF NAME CHANGE: 20070404
FORMER COMPANY:
FORMER CONFORMED NAME: Dynegy Acquisition, Inc..
DATE OF NAME CHANGE: 20070403
FORMER COMPANY:
FORMER CONFORMED NAME: Dynegy Acquisition, Inc.
DATE OF NAME CHANGE: 20061102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FLEXON ROBERT C
CENTRAL INDEX KEY: 0001236545
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 161976499
MAIL ADDRESS:
STREET 1: 1313 N MARKET ST
CITY: WILMINGTON
STATE: DE
ZIP: 19894
4
1
doc1.xml
FORM 4
X0306
4
2016-11-04
0
0001379895
DYNEGY INC.
DYN
0001236545
FLEXON ROBERT C
601 TRAVIS
14TH FLOOR
HOUSTON
TX
77002
1
1
0
0
President and CEO
Common Stock
2016-11-04
4
P
0
12500
8.2143
A
429462
D
Tangible Equity Units
2016-11-04
4
P
0
1500
63.2571
A
Common Stock
9299
1500
D
The price reported in Column 4 is the weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.21 to $8.22, inclusive. The reporting person undertakes to provide Dynegy Inc., any security holder of Dynegy Inc., or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price and within the range set forth herein.
Amount includes 19,105 restricted stock units that vest on March 3, 2017, 40,174 restricted stock units that vest in two annual equal installments beginning on March 3, 2017 and 153,563 restricted stock units that vest on April 30, 2018.
Each 7.00% Tangible Equity Unit (TEU) includes a prepaid stock purchase contract that will automatically settle on July 1, 2019 (unless settled early at the holder's discretion) for between 5.0201 and 6.1996 shares of Dynegy's common stock (subject to adjustment in certain circumstances), based upon the applicable market value of Dynegy's common stock prior to settlement. The Reporting Person may elect to settle the purchase contracts prior to July 1, 2019 at the minimum settlement rate of 5.0201 shares of Dynegy's common stock. Additionally the purchase contracts may be settled by Dynegy in the event of a fundamental change or under an acquisition termination event as described in the purchase contract.
Represents the maximum number of shares of Dynegy's common stock initially issuable upon settlement of the purchase contract included in the TEUs based on the maximum settlement rate.
The price reported in Column 8 is the weighted average price of the TEUs purchased. The TEUs were purchased in multiple transactions at prices ranging from $62.81 to $63.50, inclusive. The reporting person undertakes to provide Dynegy Inc., any security holder of Dynegy Inc., or staff of the Securities and Exchange Commission, upon request, full information regarding the number of TEUs purchased at each separate price and within the range set forth herein.
/s/ Heidi D. Lewis, Attorney-in-Fact
2016-11-07