DYNEGY INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-03-18: Reporting owner Kuersteiner Richard Lee; Form 4; Security Common Stock (Right to Buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-03-18: Reporting owner Kuersteiner Richard Lee; Form 4; Security Common Stock (Right to Buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2012-10-01: Reporting owner FLEXON ROBERT C; Form 4; Security Stock Appreciation Right; Transaction J Other acquisition or disposition (describe transaction).
- 2011-07-11: Reporting owner FLEXON ROBERT C; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-03-18 | Kuersteiner Richard Lee Director | 4 | Common Stock (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,125 1,125 owned after | $1.27 | 2013-03-20 | |
| 2013-03-18 | Kuersteiner Richard Lee Director | 4 | Common Stock (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,375 2,500 owned after | $1.28 | 2013-03-20 | |
| 2012-10-01 | FLEXON ROBERT C Director, Officer (President and CEO) | 4 | Stock Appreciation Right Derivative · Direct | J Other acquisition or disposition (describe transaction) | −875,000 0 owned after | $10.00 exercise price | 2012-10-03 | |
| 2011-07-11 | FLEXON ROBERT C Director, Officer (President and CEO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +875,000 875,000 owned after | $10.00 exercise price | 2011-07-13 | |
| 2009-11-30 | Segal Mikhail Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See Remarks | C Conversion of derivative security | −95,000,000 245,000,000 owned after | no price filed | 2009-12-02 | |
| 2009-11-30 | Segal Mikhail Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See Remarks | J Other acquisition or disposition (describe transaction) | −245,000,000 0 owned after | no price filed | 2009-12-02 | |
| 2009-11-30 | Bartlett James Director | 4 | Class B Common Stock Derivative · Indirect · See Remarks | C Conversion of derivative security | −95,000,000 245,000,000 owned after | no price filed | 2009-12-02 | |
| 2009-11-30 | Bartlett James Director | 4 | Class B Common Stock Derivative · Indirect · See Remarks | J Other acquisition or disposition (describe transaction) | −245,000,000 0 owned after | no price filed | 2009-12-02 | |
| 2009-11-30 | Hardenbergh Frank Director | 4 | Class B Common Stock Derivative · Indirect · See Remarks | C Conversion of derivative security | −95,000,000 245,000,000 owned after | no price filed | 2009-12-02 | |
| 2009-11-30 | Hardenbergh Frank Director | 4 | Class B Common Stock Derivative · Indirect · See Remarks | J Other acquisition or disposition (describe transaction) | −245,000,000 0 owned after | no price filed | 2009-12-02 |