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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2011-04-04 16:43:28
Reporting Period:
Filing Date:
Accepted Time:
2011-04-04 16:43:28
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1379895 Dynegy Inc. DYN Electric Services (4911) 205653152
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1179881 W Thomas Elward 5531 Swan Lake Drive
West Bloomfield MI 48322
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-04-01 1,700 $5.72 1,700 No 4 P Direct
Common Stock Acquisiton 2011-04-01 3,300 $5.71 5,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Phantom Stock Acquisiton 2011-03-31 3,070 $0.00 3,070 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,070 No 4 A Direct
  1. These shares are held in a rabbi trust and are deemed to be phantom stock that are convertible on a 1-for-1 basis.
  2. Reflects shares of phantom stock issued to the Reporting Person pursuant to the Dynegy Inc. Deferred Compensation Plan for Certain Directors, as amended, a Rule 16b-3 Plan with the issuer. The shares of phantom stock were issued in connection with the Reporting Person's director compensation for the first quarter of 2011, and the number of shares of phantom stock issued with respect to the quarter was calculated based on the stock price of the issuer's common stock of $5.70 (rounded) on March 31, 2011, the last trading day of the quarter.
  3. Upon termination of the Reporting Person's service as a director, the shares of phantom stock become payable, at the election of the Reporting Person, in a lump sum payment or in monthly, quarterly or annual installment payments following such termination. The shares of phantom stock are payable in cash or in shares of the issuer's common stock.