0001225208-14-012504.txt : 20140509 0001225208-14-012504.hdr.sgml : 20140509 20140509122828 ACCESSION NUMBER: 0001225208-14-012504 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20140508 FILED AS OF DATE: 20140509 DATE AS OF CHANGE: 20140509 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: FRANKLIN RESOURCES INC CENTRAL INDEX KEY: 0000038777 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33443 FILM NUMBER: 14827867 BUSINESS ADDRESS: STREET 1: ONE FRANKLIN PARKWAY STREET 2: BUILDING 920 CITY: SAN MATEO STATE: CA ZIP: 94403 BUSINESS PHONE: 650-312-2000 MAIL ADDRESS: STREET 1: FRANKLIN RESOURCES INC STREET 2: ONE FRANKLIN PARKWAY CITY: SAN MATEO STATE: CA ZIP: 94403 4 1 doc4.xml X0306 4 2014-05-08 0001379895 DYNEGY INC. DYN 0000038777 FRANKLIN RESOURCES INC ONE FRANKLIN PARKWAY SAN MATEO CA 94403-1906 1 Common Stock 2014-05-08 4 S 0 50000.0000 31.8433 D 23442023.0000 I See Footnote Common Stock 2014-05-08 4 S 0 111300.0000 31.6919 D 23330723.0000 I See Footnote See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. ex99-1.txt, ex99-2.txt Lori A. Weber, Assistant Secretary of Franklin Resources, Inc. 2014-05-09 EX-99 2 ex99-1.txt Exhibit 99-1 The Dynegy, Inc. securities reported on the attached Form 4 (collectively, the Securities) are beneficially owned by Franklin Advisers, Inc. (FAV), an indirect wholly owned subsidiary of Franklin Resources, Inc. (FRI), in FAV's capacity as the investment adviser to various investment companies registered under Section 8 of the Investment Company Act of 1940 and other accounts, including Franklin Income Fund, a series of Franklin Custodian Funds, an investment company registered under the Investment Company Act of 1940, that has an interest in 19,403,700 shares of the Securities. When an investment management contract (including a sub-advisory agreement) delegates to FAV investment discretion or voting power over the Securities held in the investment advisory accounts that are subject to that agreement, FRI treats FAV as having sole investment discretion or voting authority, as the case may be, unless the agreement specifies otherwise. Accordingly, FAV reports for purposes of section 13(d) of the Securities Exchange Act of 1934, as amended (the Act), that it has sole investment discretion and voting authority over the Securities covered by any such investment management agreement. Charles B. Johnson and Rupert H. Johnson, Jr. (the Principal Shareholders) each owns in excess of 10% of the outstanding common stock of FRI and are the principal stockholders of FRI. FRI and the Principal Shareholders may be deemed to be, for purposes of Rule 13d-3 under the Act, the beneficial owners of Securities held by persons and entities for whom or for which FAV provides investment management services. Each of FRI, the Principal Shareholders and FAV disclaims any pecuniary interest in any of the Securities. In addition, the filing of this Form 4 should not be construed as an admission that any of FRI or the Principal Shareholders is, and each disclaims that it is, the beneficial owner, as defined in Rule 13d-3, of any of the Securities, except to the extent of that filer's pecuniary interest therein. FRI, the Principal Shareholders and FAV believe that they are not a group within the meaning of Rule 13d-5 under the Act and that they are not otherwise required to attribute to each other the beneficial ownership of the Securities held by any of them or by any persons or entities for whom or for which FAV provides investment management services. EX-99 3 ex99-2.txt Exhibit 99-2 Names and Addresses of Additional Reporting Persons: Charles B. Johnson Franklin Templeton Investments 300 S.E. 2nd Street Fort Lauderdale, FL 33301-1923 Rupert H. Johnson, Jr. Franklin Templeton Investments One Franklin Parkway San Mateo, CA 94403-1906 Franklin Advisers, Inc. One Franklin Parkway San Mateo, CA 94403 1906 Franklin Custodian Funds on behalf of Franklin Income Fund By: Lori A. Weber, Vice President and Assistant Secretary, Franklin Custodian Funds