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Filing Details

Accession Number:: 0001140361-16-084965
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-11-07 06:27:47
Reporting Period:: 2016-11-04

Filing Date:: 2016-11-07
Accepted Time:: 2016-11-07 06:27:47
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1379895	Dynegy Inc.	DYN	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1236545	C Robert Flexon	601 Travis 14Th Floor Houston TX 77002	President And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-11-04	12,500	$8.21	429,462	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Tangible Equity Units	Acquisiton	2016-11-04	1,500	$63.26	9,299	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,500			No	4	P	Direct

Footnotes

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.