0001140361-16-058266.txt : 20160317 0001140361-16-058266.hdr.sgml : 20160317 20160317172115 ACCESSION NUMBER: 0001140361-16-058266 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160316 FILED AS OF DATE: 20160317 DATE AS OF CHANGE: 20160317 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: Kuersteiner Richard Lee CENTRAL INDEX KEY: 0001481631 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33443 FILM NUMBER: 161513321 MAIL ADDRESS: STREET 1: 1808 BLACK MOUNTAIN ROAD CITY: HILLSBOROUGH STATE: CA ZIP: 94010 4 1 doc1.xml FORM 4 X0306 4 2016-03-16 0 0001379895 DYNEGY INC. DYN 0001481631 Kuersteiner Richard Lee 601 TRAVIS, SUITE 1400 HOUSTON TX 77002 1 0 0 0 Series A Mandatory Convertible Preferred Stock 2016-03-16 4 P 0 2800 48.13 A 2016-03-16 2017-11-01 Common Stock 10404 D Series A Mandatory Convertible Preferred Stock 2016-03-16 4 P 0 3549 47.44 A 2016-03-16 2017-11-01 Common Stock 13953 D Series A Mandatory Convertible Preferred Stock 2016-03-16 4 P 0 760 48.33 A 2016-03-16 2017-11-01 Common Stock 14713 D On the mandatory conversion date, each share of the Mandatory Convertible Preferred Stock, unless previously converted, will automatically convert into shares of the Company's common stock. The conversion rate for each share of the Mandatory Convertible Preferred Stock will not be more than 3.2258 shares of the Company's common stock and not less than 2.5806 shares of the Company's stock, depending on the Applicable Market Value of the common stock and subject to certain anti-dilution adjustments. /s/ Heidi D. Lewis, Attorney-in-Fact 2016-03-17