0001140361-17-018781.txt : 20170508 0001140361-17-018781.hdr.sgml : 20170508 20170508152846 ACCESSION NUMBER: 0001140361-17-018781 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170508 FILED AS OF DATE: 20170508 DATE AS OF CHANGE: 20170508 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vistra Energy Corp CENTRAL INDEX KEY: 0001692819 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 364833255 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1601 BRYAN STREET CITY: DALLAS STATE: TX ZIP: 75201-3411 BUSINESS PHONE: 214-812-4600 MAIL ADDRESS: STREET 1: 1601 BRYAN STREET CITY: DALLAS STATE: TX ZIP: 75201-3411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brookfield Holdings Canada Inc. CENTRAL INDEX KEY: 0001540230 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821994 BUSINESS ADDRESS: STREET 1: 181 BAY STREET STREET 2: BROOKFIELD PLACE, SUITE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 416 956 5812 MAIL ADDRESS: STREET 1: 181 BAY STREET STREET 2: BROOKFIELD PLACE, SUITE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 FORMER NAME: FORMER CONFORMED NAME: Brookfield Holdings Canada DATE OF NAME CHANGE: 20120123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brookfield Capital Partners Ltd. CENTRAL INDEX KEY: 0001685158 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821995 BUSINESS ADDRESS: STREET 1: CC/O BROOKFIELD ASSET MANAGEMENT INC. STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 4163639491 MAIL ADDRESS: STREET 1: CC/O BROOKFIELD ASSET MANAGEMENT INC. STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE CITY: TORONTO STATE: A6 ZIP: M5J2T3 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brookfield Private Equity Inc. CENTRAL INDEX KEY: 0001685113 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821996 BUSINESS ADDRESS: STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC. STREET 2: 181 BAY STREET, SUITE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 4163639491 MAIL ADDRESS: STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC. STREET 2: 181 BAY STREET, SUITE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROOKFIELD ASSET MANAGEMENT INC. CENTRAL INDEX KEY: 0001001085 STANDARD INDUSTRIAL CLASSIFICATION: OPERATORS OF NONRESIDENTIAL BUILDINGS [6512] STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821998 BUSINESS ADDRESS: STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300 STREET 2: PO BOX 762 CITY: TORONTO STATE: A6 ZIP: A6 M5J2T3 BUSINESS PHONE: 416-363-9491 MAIL ADDRESS: STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300 STREET 2: PO BOX 762 CITY: TORONTO STATE: A6 ZIP: A6 M5J2T3 FORMER NAME: FORMER CONFORMED NAME: BRASCAN CORP/ DATE OF NAME CHANGE: 20010321 FORMER NAME: FORMER CONFORMED NAME: EDPERBRASCAN CORP DATE OF NAME CHANGE: 19970904 FORMER NAME: FORMER CONFORMED NAME: BRASCAN LTD DATE OF NAME CHANGE: 19950919 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brookfield Private Funds Holdings Inc. CENTRAL INDEX KEY: 0001504723 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821993 BUSINESS ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 416 956-5812 MAIL ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Partners Ltd CENTRAL INDEX KEY: 0001540229 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821997 BUSINESS ADDRESS: STREET 1: 181 BAY STREET STREET 2: BROOKFIELD PLACE, SUITE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 416 956 5812 MAIL ADDRESS: STREET 1: 181 BAY STREET STREET 2: BROOKFIELD PLACE, SUITE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brookfield Canada Adviser, LP CENTRAL INDEX KEY: 0001703173 STATE OF INCORPORATION: A2 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821992 BUSINESS ADDRESS: STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC. STREET 2: BROOKFIELD PLACE, 181 BAY STREET STE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 BUSINESS PHONE: 416-363-9491 MAIL ADDRESS: STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC. STREET 2: BROOKFIELD PLACE, 181 BAY STREET STE 300 CITY: TORONTO STATE: A6 ZIP: M5J2T3 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brookfield Asset Management Private Institutional Capital Adviser (Canada) LP CENTRAL INDEX KEY: 0001504716 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38086 FILM NUMBER: 17821991 BUSINESS ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 416 956-5812 MAIL ADDRESS: STREET 1: THREE WORLD FINANCIAL CENTER STREET 2: 200 VESEY STREET, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 3 1 form3.xml FORM 3 X0206 3 2017-05-08 0 0001692819 Vistra Energy Corp VST 0001001085 BROOKFIELD ASSET MANAGEMENT INC. BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M5J2T3 ONTARIO, CANADA true true Director by Deputization 0001540229 Partners Ltd BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M2J2T3 ONTARIO, CANADA true true Director by Deputization 0001685113 Brookfield Private Equity Inc. BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M2J2T3 ONTARIO, CANADA true true Director by Deputization 0001685158 Brookfield Capital Partners Ltd. BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M2J2T3 ONTARIO, CANADA true true Director by Deputization 0001540230 Brookfield Holdings Canada Inc. BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M2J2T3 ONTARIO, CANADA true true Director by Deputization 0001504723 Brookfield Private Funds Holdings Inc. BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M2J2T3 ONTARIO, CANADA true true Director by Deputization 0001703173 Brookfield Canada Adviser, LP BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M2J2T3 ONTARIO, CANADA true true Director by Deputization 0001504716 Brookfield Asset Management Private Institutional Capital Adviser (Canada) LP BROOKFIELD PLACE 181 BAY STREET SUITE 300 PO BOX 762 TORONTO A6 M2J2T3 ONTARIO, CANADA true true Director by Deputization Common Stock, par value $0.01 per share 4505400 I See Footnotes Common Stock, par value $0.01 per share 5472721 I See Footnotes This Form 3 is being jointly filed by and on behalf of each of the following persons (each a "Reporting Person"), each of which is affiliate with and/or with accounts managed by affiliates of Brookfield Asset Management, Inc. ("BAM"). The Reporting Persons are: (i) BAM; (ii) Partners Limited ("Partners"); (iii) Brookfield Private Equity Inc. ("BPE"); (iv) Brookfield Capital Partners Ltd. ("BCPL"), (v) Brookfield Holdings Canada Inc. ("BHC"), (vi) Brookfield Private Funds Holdings Inc. ("BPFH"), (vii) Brookfield Canada Adviser, LP ("BCA"), and (viii) Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. ("BAMPIC"). This Form 3 is being made in two parts and is also filed jointly with certain other persons in part one. See Remarks. The Reporting Persons do not themselves directly hold any shares of Common Stock, but are controlling entities of certain of the Investment Vehicles (as defined below). The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. The Reporting Persons may be deemed to constitute a "group" with the Investment Vehicles within the meaning of Section 13(d)(3) of the Exchange Act. Each of the Reporting Persons may be deemed to beneficially own the securities beneficially owned by the Investment Vehicles directly or indirectly controlled by it, but each disclaims beneficial ownership of such securities, except to the extent of such Reporting Person's pecuniary interest therein. In accordance with Instruction 5(b)(iv), the entire amount of the Common Stock held by the Investment Vehicles is reported herein. Cyrus Madon, a Senior Managing Partner of BAM, was appointed to the board of directors of the Issuer as a representative of affiliates of BAMPIC, which includes each of the Reporting Persons. Each of the Reporting Persons is a "director by deputization" solely for purposes of Section 16 of the Exchange Act. Common Stock held directly by BCP Titan Aggregator, L.P. ("Aggregator"). 4,793,319 shares of Common Stock held directly by BCP Titan Sub Aggregator, L.P. ("Sub Aggregator" and together with Aggregator, the "Investment Vehicles") and 679,402 shares of Common Stock representing Sub Aggregator's interest in Longhorn Capital GS L.P. Each of (i) BCPL and (ii) BAMPIC, as indirect owners of Longhorn, Aggregator and Sub-Aggregator, (iii) BCA, as limited partner of BAMPIC (iv) BPFH, as limited partner of BCA, (v) BHC, as shareholder of BPFH, (vi) BAM, as shareholder of BHC, and (vii) Partners, as shareholder of BAM, may be deemed to have an indirect pecuniary interest in an indeterminate portion of the shares of Common Stock directly beneficially owned by the Titan Vehicles. Each of BCPL, BAMPIC, BCA, BPFH, BHC, BAM and Partners disclaims beneficial ownership of all shares of Common Stock that are beneficially owned by Longhorn, except to the extent of any indirect pecuniary interest therein. Due to the technical limitation on the number of reporting persons per filing, this filing is being made into two parts. This filing is two of two. See Exhibit 99.1 - Joint Filer Information and Signatures Brookfield Asset Management Inc. /s/ A.J. Silber 2017-05-08 EX-99.1 2 ex99_1.htm EXHIBIT 99.1
Exhibit 99.1

Joint Filer Information

Name of Joint Filer:
Partners Limited
   
Address of Joint Filer:
c/o Brookfield Asset Management Inc.
 
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

Signature:
  
/s/ Brian Lawson
  
       
 
Name:
Brian Lawson
  
       
 
Title:
President
  
 
 
Name of Joint Filer:
Brookfield Capital Partners Ltd.
   
Address of Joint Filer:
c/o Brookfield Asset Management Inc.
 
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

Signature:
  
/s/  A.J. Silber
  
       
 
Name:
A.J. Silber
  
       
 
Title:
Director
  
 
Name of Joint Filer:
Brookfield Holdings Canada Inc.
   
Address of Joint Filer:
c/o Brookfield Asset Management Inc.
 
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

Signature:
  
/s/  A.J. Silber
  
       
 
Name:
A.J. Silber
  
       
 
Title:
Vice-President
  
 
 
Name of Joint Filer:
Brookfield Private Funds Holdings Inc.
   
Address of Joint Filer:
c/o Brookfield Asset Management Inc.
 
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

Signature:
  
/s/  A.J. Silber
  
       
 
Name:
A.J. Silber
  
       
 
Title:
Director
  
 
2
Name of Joint Filer:
Brookfield Canada Adviser, LP
   
Address of Joint Filer:
c/o Brookfield Asset Management Inc.
 
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

   
By: Brookfield Private Funds Holdings Inc., its General Partner
       
Signature:
  
/s/  A.J. Silber
  
       
 
Name:
A.J. Silber
  
       
 
Title:
Director
  
 
 
Name of Joint Filer:
Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P.
   
Address of Joint Filer:
c/o Brookfield Asset Management Inc.
 
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

   
By: Brookfield Private Funds Holdings Inc., its General Partner
       
Signature:
  
/s/  A.J. Silber
  
       
 
Name:
A.J. Silber
  
       
 
Title:
Director
  
 
3
Name of Joint Filer:
Brookfield Asset Management Inc.
   
Address of Joint Filer:
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

Signature:
  
/s/  A.J. Silber
  
       
 
Name:
A.J. Silber
  
       
 
Title:
Vice-President, Legal Affairs
  
 
 
Name of Joint Filer:
Brookfield Private Equity Inc.
   
Address of Joint Filer:
c/o Brookfield Asset Management Inc.
 
Brookfield Place
 
181 Bay Street, Suite 300
 
Toronto A6 M5J2T3
   
Relationship of Joint Filer to Issuer:
10% Owner; Director by Deputization
   
Issuer Name and Ticker or Trading Symbol:
Vistra Energy Corp. [NYSE: VST]
   
Date of Event Requiring Statement:
  
(Month/Day/Year):
5/8/2017
   
Designated Filer:
Brookfield Asset Management Inc.

Signature:
  
/s/  A.J. Silber
  
       
 
Name:
A.J. Silber
  
       
 
Title:
Director
  
 
 
4