Initial Statement of Beneficial Ownership (3)
April 08 2015 - 3:32PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Thompson Daniel P.
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2015
|
3. Issuer Name
and
Ticker or Trading Symbol
DYNEGY INC. [DYN]
|
(Last)
(First)
(Middle)
601 TRAVIS STREET, SUITE 1400
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Executive Vice President /
|
(Street)
HOUSTON, TX 77002
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock
|
19475
(1)
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option (Right to Buy)
|
(2)
|
10/29/2022
|
Common Stock
|
19218
|
$18.7
|
D
|
|
Employee Stock Option (Right to Buy)
|
(3)
|
3/18/2023
|
Common Stock
|
6250
|
$23.1
|
D
|
|
Employee Stock Option (Right to Buy)
|
(4)
|
3/3/2024
|
Common Stock
|
9518
|
$23.03
|
D
|
|
Employee Stock Option (Right to Buy)
|
(5)
|
3/3/2025
|
Common Stock
|
17472
|
$27.24
|
D
|
|
Explanation of Responses:
|
(
1)
|
Includes 2,470 shares of restricted stock which vest on October 29, 2015, 1,335 shares of restricted stock which vest on March 18, 2016, 2,605 shares of restricted stock which vest in two equal annual installments beginning on March 3, 2016 and 7,067 shares of restricted stock which vest in three equal annual installments beginning on March 3, 2016.
|
(
2)
|
The options became exercisable in three equal installments beginning on October 29, 2013.
|
(
3)
|
The options became exercisable in three equal annual installments beginning on March 18, 2014
|
(
4)
|
The options became exercisable in three equal annual installments beginning March 3, 2015.
|
(
5)
|
The options become exercisable in three equal annual installments beginning March 3, 2016.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Thompson Daniel P.
601 TRAVIS STREET
SUITE 1400
HOUSTON, TX 77002
|
|
|
Executive Vice President
|
|
Signatures
|
Heidi Lewis
|
|
4/8/2015
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Dynegy (NYSE:DYN)
Historical Stock Chart
From Jul 2024 to Aug 2024
Dynegy (NYSE:DYN)
Historical Stock Chart
From Aug 2023 to Aug 2024