Основная статистика
| CIK | 1379895 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Dyne Therapeutics, Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| February 13, 2019 |
DYN / Dynegy Inc. / Oaktree Capital Management LP - AMENDMENT NO. 7 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Dynegy Inc. (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| May 8, 2018 |
DYN / Dynegy Inc. / MASSACHUSETTS FINANCIAL SERVICES CO /MA/ - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5 )* DYNEGY INC. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) April 30, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| April 27, 2018 |
15-12B 1 d559735d1512b.htm FORM 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-33443 DYNEGY INC. (Exact name of regi |
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| April 27, 2018 |
Annual Report - FORM 10-K/AMENDMENT NO. 1 10-K/A 1 d532160d10ka.htm FORM 10-K/AMENDMENT NO. 1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For th |
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| April 9, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2018 DYNEGY INC. |
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| April 9, 2018 |
Amendment No. 1 to the Dynegy Inc. Severance Plan. EX-10.1 Exhibit 10.1 AMENDMENT NO. 1 TO THE DYNEGY INC. SEVERANCE PLAN WHEREAS, Dynegy Inc. (the “Company”) maintains the Dynegy Inc. Severance Plan (the “Plan”); WHEREAS, Section 11.5(a) of the Plan provides that the Compensation Committee of the Board of Directors of the Company may amend the Plan subject to certain limitations not applicable here; and WHEREAS, on October 29, 2017, the Company e |
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| April 9, 2018 |
S-8 POS 1 d560629ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on April 9, 2018 Registration No. 333-211734 Registration No. 333-184590 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-8 Registration Statement No. 333-211734 Post-Effective Amendment No. 1 to FORM S-8 Registration Statement No. 333-184590 UNDE |
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| April 9, 2018 |
S-8 POS 1 d560629ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on April 9, 2018 Registration No. 333-211734 Registration No. 333-184590 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-8 Registration Statement No. 333-211734 Post-Effective Amendment No. 1 to FORM S-8 Registration Statement No. 333-184590 UNDE |
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| April 9, 2018 |
POSASR 1 d560427dposasr.htm POSASR As filed with the Securities and Exchange Commission on April 9, 2018 Registration No. 333-222164 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 20-5653152 (State or |
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| April 9, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on April 20, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 9, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on April 20, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 9, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on April 20, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 5, 2018 |
VST / Vistra Energy Corp. FORM 8-K (Prospectus) 425 1 d563617d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2018 VISTRA ENERGY CORP. (Exact name of registrant as specified in its charter) Delaware 001-38086 36-4833255 (State or other jurisdiction of inco |
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| March 6, 2018 |
DYN / Dynegy Inc. / Energy Capital Partners III, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed Pursuant to § 240.13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 6 )* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) Christophe |
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| March 2, 2018 |
8-K 1 a18-726218k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 2, 2018 (February 27, 2018) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorpora |
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| March 2, 2018 |
Form of Stock Unit Award Agreement (CEO) Exhibit 10.2 FORM OF STOCK UNIT AWARD AGREEMENT THIS STOCK UNIT AWARD AGREEMENT (this “Agreement”) is made as of the day of February, 2018, between DYNEGY INC., a Delaware corporation (“Dynegy”), and all of its Affiliates (collectively, the “Company”), and Robert Flexon (the “Employee”). A copy of the Amended and Restated Dynegy Inc. 2012 Long Term Incentive Plan (the “Plan”) is annexed to this Ag |
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| March 2, 2018 |
Form of Stock Unit Award Agreement (Executive Management) Exhibit 10.1 FORM OF STOCK UNIT AWARD AGREEMENT THIS STOCK UNIT AWARD AGREEMENT (this “Agreement”) is made as of the day of February, 2018, between DYNEGY INC., a Delaware corporation (“Dynegy”), and all of its Affiliates (collectively, the “Company”), and Named Employee (the “Employee”). A copy of the Amended and Restated Dynegy Inc. 2012 Long Term Incentive Plan (the “Plan”) is annexed to this A |
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| February 27, 2018 |
VST / Vistra Energy Corp. 425 (Prospectus) 425 Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 TRANSCRIPT The following is a transcript of an investor call held by Vistra Energy Corp. (?Vistra?) at 10:00 a.m. Central time on February 26, 2018. While every effort |
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| February 26, 2018 |
VST / Vistra Energy Corp. 425 (Prospectus) Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 Vistra Energy Corp. (Vistra) issued the following press release relating to financial results for the year ended 2017 and describes certain aspects of the proposed trans |
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| February 26, 2018 |
VST / Vistra Energy Corp. 425 (Prospectus) Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 Vistra Energy Corp. (“Vistra”) issued the following presentation on its website at www.vistraenergy.com relating to financial results for the year ended 2017 and describes |
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| February 22, 2018 |
10-K 1 dyn-2017123110k.htm 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to DYNEGY INC. |
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| February 22, 2018 |
Exhibit 95 MINE SAFETY VIOLATIONS AND OTHER LEGAL MATTER DISCLOSURES PURSUANT TO SECTION 1503(a) OF THE DODD-FRANK WALL STREET REFORM AND CONSUMER PROTECTION ACT Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) requires issuers that are operators, or that have subsidiaries that is an operator, of a coal or other mine to include in periodic reports filed with the Securities and Exchange Commission certain information relating to citations and orders for violations of standards under the Federal Mine Safety and Health Act of 1977. |
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| February 22, 2018 |
Significant subsidiaries of the Registrant Exhibit 21.1 Significant Subsidiaries of Dynegy Inc As of December 31, 2017 SUBSIDIARY STATE OR COUNTRY OF INCORPORATION OR ORGANIZATION 1. Dynegy Gas Investments, LLC Delaware 2. Illinova Corporation Illinois 3. Dynegy Resource Holdings, LLC Delaware 4. Dynegy Coal Holdco, LLC Delaware |
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| February 21, 2018 |
8-K 1 a18-648338k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 21, 2018 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commissio |
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| February 21, 2018 |
DYNEGY ANNOUNCES 2017 FINANCIAL RESULTS Exhibit 99.1 DYNEGY ANNOUNCES 2017 FINANCIAL RESULTS Summary of Fourth Quarter and Full-Year 2017 Financial Results (in millions): Three Months Ended December 31, Twelve Months Ended December 31, 2017 2016 2017 2016 Operating Revenues $ 994 $ 1,107 $ 4,842 $ 4,318 Net Income (loss) $ (95 ) $ (182 ) $ 72 $ (1,244 ) Adjusted EBITDA (1) $ 293 $ 219 $ 1,160 $ 1,007 Operating Cash Flow $ 585 $ 645 Adju |
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| February 21, 2018 |
DYN / Dynegy Inc. 425 (Prospectus) 425 1 a18-64832425.htm 425 Filed by Dynegy Inc. Commission File No. 001-33443 Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Dynegy Inc. Commission File No. 001-33443 SUPPLEMENT NO. 2 DATED FEBRUARY 21, 2018 TO THE JOINT PROXY STATEMENT AND PROSPECTUS DATED JANUARY 25, |
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| February 14, 2018 |
DYN / Dynegy Inc. / Point72 Asset Management, L.P. - AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* DYNEGY INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| February 14, 2018 |
DYN / Dynegy Inc. / Oaktree Capital Management LP - AMENDMENT NO. 6 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Dynegy Inc. (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| February 14, 2018 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessi |
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| February 13, 2018 |
Agreement of Reporting Persons EXHIBIT 99.1 Agreement of Reporting Persons In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended (the “Act”), Avenue Energy Opportunities Fund, L.P., Avenue Energy Opportunities Partners, LLC, Avenue Capital Management II, L.P., Avenue Capital Management II GenPar, LLC and Marc Lasry hereby agree to file jointly the statement on this Amendment No. 2 to Sch |
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| February 13, 2018 |
DYN / Dynegy Inc. / CARLSON CAPITAL L P - SC 13G/A Passive Investment SC 13G/A 1 d524257dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Dynegy Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of This Statement) Check the approp |
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| February 13, 2018 |
DYN / Dynegy Inc. / Avenue Capital Management II, L.P. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Dynegy Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| February 9, 2018 |
DYN / Dynegy Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 dynegyinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 4 )* Name of issuer: Dynegy Inc Title of Class of Securities: Common Stock CUSIP Number: 26817R108 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to designate the rule pursuant to which this Sch |
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| February 9, 2018 |
DYN / Dynegy Inc. / MASSACHUSETTS FINANCIAL SERVICES CO /MA/ - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* DYNEGY INC. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| January 25, 2018 |
DEFM14A 1 d467112ddefm14a.htm DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Co |
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| January 17, 2018 |
VST / Vistra Energy Corp. FORM 8-K (Prospectus) 425 1 vistra-011718x425.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 17, 2018 VISTRA ENERGY CORP. (Exact name of registrant as specified in its charter) Delaware 001-38086 36-4833255 (State or other jurisdicti |
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| January 11, 2018 |
DYN / Dynegy Inc. / Energy Capital Partners III, LLC - SC 13D/A Activist Investment SC 13D/A 1 a18-26151sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed Pursuant to § 240.13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 5 )* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securit |
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| December 21, 2017 |
8-K 1 a17-2871218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 21, 2017 (December 19, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisd |
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| December 21, 2017 |
Exhibit 10.1 [Form of Acknowledgment] December [ ], 2017 Private & Confidential [Name] c/o Dynegy Inc. 601 Travis Street, Suite 1400 Houston, Texas 77002 Re: Section 280G Mitigation Acknowledgment Dear [ ]: Your continued services and loyalty to Dynegy Inc. (the ?Company?) are very important to the Company. I am therefore pleased to inform you that, pursuant to the terms of this letter agreement ( |
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| December 20, 2017 |
8-K 1 a17-2871228k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 20, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission ( |
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| December 20, 2017 |
Exhibit 10.2 EXECUTION VERSION SIXTH AMENDMENT TO CREDIT AGREEMENT This SIXTH AMENDMENT TO CREDIT AGREEMENT (this ?Sixth Amendment?) is entered into as of December 20, 2017 among Dynegy Inc., a Delaware corporation (the ?Borrower?), the Guarantors party hereto, Credit Suisse AG, Cayman Islands Branch, as administrative agent (in such capacity, the ?Administrative Agent?), each Converting Lender (a |
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| December 19, 2017 |
S-3ASR 1 a2234072zs-3asr.htm S-3ASR Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on December 19, 2017 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Dynegy Inc. (Exact Name of Registrant as Specifi |
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| December 19, 2017 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 12.1 DYNEGY INC. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND RATIO OF EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED DIVIDENDS (in millions, except ratio) Successor Predecessor Nine Months Ended September 30, 2017 Year Ended December 31, October 2 Through December 31, 2012 January 1 Through October 1, 2012 2016 2 |
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| December 19, 2017 |
Statement of Eligibility on Form T-1 of Wilmington Trust, National Association for debt securities Exhibit 25.1 File No. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE x CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) WILMINGTON TRUST, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) 16-1486454 (I.R.S |
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| December 19, 2017 |
EX-99.1 Exhibit 99.1 TABLE OF CONTENTS TABLE OF CONTENTS 1 DEFINED TERMS 2 CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 7 RISK FACTORS 9 RECOMMENDATIONS OF THE VISTRA ENERGY AND DYNEGY BOARDS OF DIRECTORS WITH RESPECT TO THE MERGER 35 INFORMATION ABOUT VISTRA ENERGY 47 INFORMATION ABOUT THE COMBINED COMPANY FOLLOWING THE MERGER 136 DESCRIPTION OF VISTRA ENERGY CAPITAL STOCK 140 COMPAR |
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| December 19, 2017 |
Financial Statements and Exhibits, Other Events 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 19, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R.S. |
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| December 19, 2017 |
8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 19, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R.S. |
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| December 19, 2017 |
EX-99.1 Exhibit 99.1 TABLE OF CONTENTS TABLE OF CONTENTS 1 DEFINED TERMS 2 CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 7 RISK FACTORS 9 RECOMMENDATIONS OF THE VISTRA ENERGY AND DYNEGY BOARDS OF DIRECTORS WITH RESPECT TO THE MERGER 35 INFORMATION ABOUT VISTRA ENERGY 47 INFORMATION ABOUT THE COMBINED COMPANY FOLLOWING THE MERGER 136 DESCRIPTION OF VISTRA ENERGY CAPITAL STOCK 140 COMPAR |
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| December 11, 2017 |
DEFA14A 1 a17-282631defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a |
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| December 7, 2017 |
Exhibit 99.1 Item 6. Selected Financial Data The selected financial information presented below as of December 31, 2016 and 2015 and for the years ended December 31, 2016, 2015 and 2014, was derived from, and is qualified by, reference to our Consolidated Financial Statements, including the notes thereto, contained in Exhibit 99.3 attached to this Form 8-K. The selected financial information shoul |
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| December 7, 2017 |
Financial Statements and Exhibits, Other Events 8-K 1 a17-2803518k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 7, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer |
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| December 7, 2017 |
LIQUIDITY AND CAPITAL RESOURCES Exhibit 99.2 Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations The following discussion should be read together with the consolidated financial statements and the notes thereto included in Exhibit 99.3 attached to this Form 8-K. All references to notes to our consolidated financial statements refer to the financial statements included in Exhibit 99.3 att |
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| December 7, 2017 |
DYNEGY INC. INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.3 This exhibit does not reflect events occurring after the filing date of Dynegy Inc.?s Annual Report on Form 10-K for the year ended December 31, 2016, other than to give effect to the adoption of ASU 2016-15 and ASU 2016-18 and does not modify or update the disclosures therein in anyway, other than described above. Item 8. Financial Statements and Supplementary Data DYNEGY INC. INDEX |
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| December 1, 2017 |
DYN / Dynegy Inc. 425 (Prospectus) 425 1 a17-278571425.htm 425 Filed by Dynegy Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 From the Desk of Curt Morgan December 1, 2017 Greetings, Since we announced our merger agreement about a month ago, Vistra and Dynegy leaders have been |
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| December 1, 2017 |
425 Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 Vistra Energy Corp. (“Vistra”) issued the following letter to employees of Vistra and Dynegy Inc. (“Dynegy”) to introduce the certain individuals who will serve in sen |
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| November 17, 2017 |
8-K 1 a17-2462948k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) November 17, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employe |
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| November 7, 2017 |
Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 Vistra Energy Corp. (“Vistra”) issued the following “Week in Review” summary on its website at www.vistraenergy.com that includes certain recent media and analyst coverage |
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| November 1, 2017 |
DYNEGY ANNOUNCES 2017 THIRD QUARTER RESULTS Exhibit 99.1 DYNEGY ANNOUNCES 2017 THIRD QUARTER RESULTS Summary of Third Quarter 2017 Financial Results (in millions): Three Months Ended September 30, Nine Months Ended September 30, 2017 2016 2017 2016 Operating Revenues $ 1,437 $ 1,184 $ 3,848 $ 3,211 Net Income (loss) $ (133 ) $ (249 ) $ 167 $ (1,062 ) Adjusted EBITDA (1) $ 397 $ 350 $ 867 $ 788 Reaffirming 2017 Guidance Ranges (in millions): |
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| November 1, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) November 1, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R.S. Empl |
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| November 1, 2017 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 13, 2017, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 1, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 dyn-2017930x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Com |
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| November 1, 2017 |
Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 The following is the transcript of an interview by Jim Cramer of Curt Morgan, President and CEO of Vistra Energy Corp., that aired on the “Mad Money” program on CNBC on th |
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| October 31, 2017 |
Filed by Dynegy Inc. Commission File No. 001-33443 Pursuant to Rule 425 under the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934, as amended Subject Company: Dynegy Inc. Commission File No. 001-33443 The following is a transcript of a joint conference call held by Dynegy Inc. and Vistra Energy Corp. regarding the Agreement and |
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| October 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2017 VISTRA ENERGY CORP. |
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| October 31, 2017 |
Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 TRANSCRIPT The following is a transcript of an investor call held by Vistra Energy Corp. (?Vistra?) at 7:30 a.m. Central time on October 30, 2017. While every effort has b |
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| October 31, 2017 |
Exhibit 10.1 Execution Version MERGER SUPPORT AGREEMENT This MERGER SUPPORT AGREEMENT, dated as of October 29, 2017 (this ?Agreement?), is made and entered into by and among Vistra Energy Corp., a Delaware corporation (?Mavericks?), and Terawatt Holdings, LP, a Delaware limited partnership (the ?Stockholder? and, together with Mavericks, the ?Parties?). RECITALS WHEREAS, concurrently with the exec |
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| October 31, 2017 |
VISTRA ENERGY AND DYNEGY TO COMBINE TO CREATE LEADING INTEGRATED POWER COMPANY Exhibit 99.1 VISTRA ENERGY AND DYNEGY TO COMBINE TO CREATE LEADING INTEGRATED POWER COMPANY ? Nearly $4 Billion in Equity Value Projected to be Created via Expected EBITDA, Free Cash Flow and Tax Synergies, and Operational Improvements ? Combination Projected to Maintain Industry-Leading Strong Balance Sheet with Substantial Liquidity ? More Than $5 Billion in Excess Capital Projected to Be Availa |
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| October 31, 2017 |
DYN / Dynegy Inc. / Energy Capital Partners III, LLC - SC 13D/A Activist Investment SC 13D/A 1 a17-249351sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed Pursuant to § 240.13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 4)* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securit |
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| October 31, 2017 |
Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 Vistra Energy Corp. (?Vistra?) issued the following Fact Sheet on its website at www.vistraenergy.com that describes certain aspects of the proposed combined company as co |
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| October 31, 2017 |
Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 Vistra Energy Corp. (“Vistra”) issued the following News Release on October 31, 2017 to inform investors that (i) its previously scheduled Third Quarter 2017 Webcast would |
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| October 31, 2017 |
Exhibit 10.2 Execution Version MERGER SUPPORT AGREEMENT This MERGER SUPPORT AGREEMENT, dated as of October 29, 2017 (this ?Agreement?), is made and entered into by and among Vistra Energy Corp., a Delaware corporation (?Mavericks?), and the Rockets Stockholders listed on the signature pages hereto (collectively, the ?Stockholders? and, together with Mavericks, the ?Parties?). RECITALS WHEREAS, con |
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| October 31, 2017 |
General Vistra Energy-Dynegy Employee Q&A October & November 2017 Filed by Vistra Energy Corp. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Dynegy Inc. Commission File Number: 001-33443 Vistra Energy Corp. (“Vistra”) issued the following letter and Q&A to employees relating to the proposed transaction contemplated by that certain Agreement and Plan of Mer |
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| October 31, 2017 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and between VISTRA ENERGY CORP. and DYNEGY INC. Dated as of October 29, 2017 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS Section 1.1 Certain Definitions 2 Section 1.2 Interpretations 17 ARTICLE II THE MERGER Section 2.1 The Merger 17 Section 2.2 Closing 17 Section 2.3 Effective Time 18 Section 2.4 Effects of the Merger 18 Section 2.5 C |
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| October 31, 2017 |
AGENDA I Welcome and Safe Harbor II Transaction Highlights III Financial Highlights IV Closing CREATING THE LEADING INTEGRATED POWER COMPANY INVESTOR PRESENTATION / OCTOBER 30, 2017 Exhibit 99. |
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| October 30, 2017 |
Exhibit 10.2 FIRST AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this ?Amendment?) dated as of October 29, 2017, is made and entered into by and between DYNEGY OPERATING COMPANY, a Delaware corporation (the ?Company?), and ROBERT FLEXON (the ?Executive?). WHEREAS, the parties hereto entered into an Amended and Restated Emp |
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| October 30, 2017 |
CREATING THE LEADING INTEGRATED POWER COMPANY INVESTOR PRESENTATION / OCTOBER 30, 2017 Exhibit 99.2 CREATING THE LEADING INTEGRATED POWER COMPANY INVESTOR PRESENTATION / OCTOBER 30, 2017 AGENDA I Welcome and Safe Harbor II Transaction Highlights III Financial Highlights IV Closing SAFE HARBOR STATEMENTS Cautionary Note Regarding Forward-Looking Statements The information presented herein includes forward-looking statements within the meaning of the Private Securities Litigation Refo |
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| October 30, 2017 |
Agreement and Plan of Merger, dated as of October 29, 2017, by and Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and between VISTRA ENERGY CORP. and DYNEGY INC. Dated as of October 29, 2017 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS Section 1.1 Certain Definitions 2 Section 1.2 Interpretations 17 ARTICLE II THE MERGER Section 2.1 The Merger 17 Section 2.2 Closing 17 Section 2.3 Effective Time 18 Section 2.4 Effects of the Merger 18 Section 2.5 C |
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| October 30, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) October 29, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer of Incorporation) File Num |
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| October 30, 2017 |
Exhibit 99.7 From the Desk of Curt Morgan October 30, 2017 Greetings, As most of you have heard, Dynegy has agreed to merge with Vistra Energy in an all-stock business combination. This will create the leading integrated power company in the United States. I want to recognize off the top that activity like this can be unsettling and will inevitably leave more questions than answers in the early st |
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| October 30, 2017 |
EX-99.7 11 a17-246291ex99d7.htm EX-99.7 Exhibit 99.7 From the Desk of Curt Morgan October 30, 2017 Greetings, As most of you have heard, Dynegy has agreed to merge with Vistra Energy in an all-stock business combination. This will create the leading integrated power company in the United States. I want to recognize off the top that activity like this can be unsettling and will inevitably leave mor |
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| October 30, 2017 |
EX-99.5 9 a17-246291ex99d5.htm EX-99.5 Exhibit 99.5 VISTRAENERGYANDDYNEGY CRE ATING THE LEADING INTEGR ATED PO WER COM PANY Dynegy Plants* Natural Gas Coal Oil Vistra Energy Plants* Natural Gas Coal Nuclear Solar Plant Operations Retail and Plant Operations Combined Company Headquarters Pairing Vistra’s financial strength, top-notch consumer, commercial and industrial retail electricity business a |
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| October 30, 2017 |
VISTRA ENERGY AND DYNEGY TO COMBINE TO CREATE LEADING INTEGRATED POWER COMPANY Exhibit 99.1 VISTRA ENERGY AND DYNEGY TO COMBINE TO CREATE LEADING INTEGRATED POWER COMPANY ? Nearly $4 Billion in Equity Value Projected to be Created via Expected EBITDA, Free Cash Flow and Tax Synergies, and Operational Improvements ? Combination Projected to Maintain Industry-Leading Strong Balance Sheet with Substantial Liquidity ? More Than $5 Billion in Excess Capital Projected to Be Availa |
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| October 30, 2017 |
VISTRA ENERGY AND DYNEGY TO COMBINE TO CREATE LEADING INTEGRATED POWER COMPANY Exhibit 99.1 VISTRA ENERGY AND DYNEGY TO COMBINE TO CREATE LEADING INTEGRATED POWER COMPANY ? Nearly $4 Billion in Equity Value Projected to be Created via Expected EBITDA, Free Cash Flow and Tax Synergies, and Operational Improvements ? Combination Projected to Maintain Industry-Leading Strong Balance Sheet with Substantial Liquidity ? More Than $5 Billion in Excess Capital Projected to Be Availa |
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| October 30, 2017 |
Exhibit 99.3 601 Travis St. Suite 1400 Houston, TX 77002 October 30, 2017 Dear Colleagues: Upon appointment as CEO of Dynegy back in July 2011, the question employees usually asked was what was my perspective and vision for the Company? My answer: To build the industry?s premier Independent Power Producer. Today, we are embarking on our next chapter in Dynegy?s history and future by announcing pla |
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| October 30, 2017 |
Exhibit 99.3 601 Travis St. Suite 1400 Houston, TX 77002 October 30, 2017 Dear Colleagues: Upon appointment as CEO of Dynegy back in July 2011, the question employees usually asked was what was my perspective and vision for the Company? My answer: To build the industry?s premier Independent Power Producer. Today, we are embarking on our next chapter in Dynegy?s history and future by announcing pla |
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| October 30, 2017 |
CREATING THE LEADING INTEGRATED POWER COMPANY INVESTOR PRESENTATION / OCTOBER 30, 2017 Exhibit 99.2 CREATING THE LEADING INTEGRATED POWER COMPANY INVESTOR PRESENTATION / OCTOBER 30, 2017 AGENDA I Welcome and Safe Harbor II Transaction Highlights III Financial Highlights IV Closing SAFE HARBOR STATEMENTS Cautionary Note Regarding Forward-Looking Statements The information presented herein includes forward-looking statements within the meaning of the Private Securities Litigation Refo |
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| October 30, 2017 |
Exhibit 99.6 October 30, 2017 Today, Vistra Energy and Dynegy announced plans to merge to become the leading integrated power company in the United States. This is a natural fit that brings together two great Texas-based power companies. The merger will pair Vistra?s financial strength, top-notch consumer, commercial and industrial retail electricity businesses, and diverse generation fleet with D |
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| October 30, 2017 |
Exhibit 99.6 October 30, 2017 Today, Vistra Energy and Dynegy announced plans to merge to become the leading integrated power company in the United States. This is a natural fit that brings together two great Texas-based power companies. The merger will pair Vistra?s financial strength, top-notch consumer, commercial and industrial retail electricity businesses, and diverse generation fleet with D |
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| October 30, 2017 |
VISTRA-DYNEGY MERGER — EMPLOYEE Q&As (October 30, 2017) EX-99.4 8 a17-246291ex99d4.htm EX-99.4 Exhibit 99.4 VISTRA-DYNEGY MERGER — EMPLOYEE Q&As (October 30, 2017) This is the first employee update and Q&A document that we plan to send throughout this transition. The plan is to send an update every three weeks even if there is not much to report. We believe that any communication, even if there have not been many developments, is important. Please send |
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| October 30, 2017 |
EX-10.1 3 a17-246291ex10d1.htm EX-10.1 Exhibit 10.1 EXECUTION VERSION MERGER SUPPORT AGREEMENT This MERGER SUPPORT AGREEMENT, dated as of October 29, 2017 (this “Agreement”), is made and entered into by and among Dynegy Inc., a Delaware corporation (“Rockets”), and the Mavericks Stockholders listed on the signature pages hereto (collectively, the “Stockholders” and, together with Rockets, the “Par |
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| October 30, 2017 |
Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and between VISTRA ENERGY CORP. and DYNEGY INC. Dated as of October 29, 2017 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS Section 1.1 Certain Definitions 2 Section 1.2 Interpretations 17 ARTICLE II THE MERGER Section 2.1 The Merger 17 Section 2.2 Closing 17 Section 2.3 Effective Time 18 Section 2.4 Effects of the Merger 18 Section 2.5 C |
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| October 30, 2017 |
VISTRA-DYNEGY MERGER — EMPLOYEE Q&As (October 30, 2017) EX-99.4 8 a17-246291ex99d4.htm EX-99.4 Exhibit 99.4 VISTRA-DYNEGY MERGER — EMPLOYEE Q&As (October 30, 2017) This is the first employee update and Q&A document that we plan to send throughout this transition. The plan is to send an update every three weeks even if there is not much to report. We believe that any communication, even if there have not been many developments, is important. Please send |
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| October 30, 2017 |
8-K 1 a17-2462918k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) October 29, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer |
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| October 30, 2017 |
Exhibit 10.1 EXECUTION VERSION MERGER SUPPORT AGREEMENT This MERGER SUPPORT AGREEMENT, dated as of October 29, 2017 (this “Agreement”), is made and entered into by and among Dynegy Inc., a Delaware corporation (“Rockets”), and the Mavericks Stockholders listed on the signature pages hereto (collectively, the “Stockholders” and, together with Rockets, the “Parties”). RECITALS WHEREAS, concurrently |
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| October 30, 2017 |
EX-10.2 4 a17-246291ex10d2.htm EX-10.2 Exhibit 10.2 FIRST AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Amendment”) dated as of October 29, 2017, is made and entered into by and between DYNEGY OPERATING COMPANY, a Delaware corporation (the “Company”), and ROBERT FLEXON (the “Executive”). WHEREAS, the parties hereto e |
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| October 30, 2017 |
EX-99.5 9 a17-246291ex99d5.htm EX-99.5 Exhibit 99.5 VISTRAENERGYANDDYNEGY CRE ATING THE LEADING INTEGR ATED PO WER COM PANY Dynegy Plants* Natural Gas Coal Oil Vistra Energy Plants* Natural Gas Coal Nuclear Solar Plant Operations Retail and Plant Operations Combined Company Headquarters Pairing Vistra’s financial strength, top-notch consumer, commercial and industrial retail electricity business a |
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| September 28, 2017 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 9, 2017, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12d2 |
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| September 18, 2017 |
DYN / Dynegy Inc. / Energy Capital Partners III, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed Pursuant to § 240.13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 3)* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) Christopher |
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| September 6, 2017 |
EX-10.1 2 a17-214001ex10d1.htm EX-10.1 Exhibit 10.1 Execution Version AMENDMENT NO. 1 TO INVESTOR RIGHTS AGREEMENT This Amendment No. 1 (the “Amendment”) to the Investor Rights Agreement (as defined below) is made and entered into as of September 5, 2017 by and between Dynegy Inc., a Delaware corporation (“Dynegy”), and Terawatt Holdings, LP, a Delaware limited partnership (“Purchaser”). RECITALS |
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| September 6, 2017 |
Dynegy 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 6, 2017 (September 5, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or other jurisdiction of incorporation) (C |
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| September 6, 2017 |
DYN / Dynegy Inc. / Energy Capital Partners III, LLC - SC 13D/A Activist Investment United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed Pursuant to § 240.13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 2)* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) Christopher |
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| September 6, 2017 |
AMENDMENT NO. 1 TO INVESTOR RIGHTS AGREEMENT EX-99.6 3 d453719dex996.htm EX-6 Exhibit 6 Execution Version AMENDMENT NO. 1 TO INVESTOR RIGHTS AGREEMENT This Amendment No. 1 (the “Amendment”) to the Investor Rights Agreement (as defined below) is made and entered into as of September 5, 2017 by and between Dynegy Inc., a Delaware corporation (“Dynegy”), and Terawatt Holdings, LP, a Delaware limited partnership (“Purchaser”). RECITALS WHEREAS, |
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| August 21, 2017 |
2026 Notes Indenture, dated August 21, 2017, among Dynegy, the Subsidiary Guarantors and the Trustee EX-4.1 2 a17-187634ex4d1.htm EX-4.1 Exhibit 4.1 EXECUTION VERSION DYNEGY INC., as Issuer 8.125% SENIOR NOTES DUE 2026 INDENTURE Dated as of August 21, 2017 Wilmington Trust, National Association as Trustee CROSS-REFERENCE TABLE Trust Indenture Act Section Indenture Section 310(a)(1) N.A. (a)(2) N.A. (a)(3) N.A. (a)(4) N.A. (a)(5) N.A. (b) N.A. (c) N.A. 311(a) N.A. (b) N.A. (c) N.A. 312(a) N.A. (b) |
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| August 21, 2017 |
8-K 1 a17-1876348k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) August 21, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer |
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| August 21, 2017 |
DYNEGY COMPLETES $850 MILLION SENIOR NOTES OFFERING Exhibit 99.1 NEWS RELEASE DYNEGY COMPLETES $850 MILLION SENIOR NOTES OFFERING HOUSTON, TX (August 21, 2017) ?Dynegy Inc. (NYSE: DYN) has closed its previously announced offering of $850 million in aggregate principal amount of 8.125% senior notes due 2026 in a private placement (New Notes). Dynegy intends to use the proceeds of the offering, together with approximately $480 million of cash receive |
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| August 21, 2017 |
Exhibit 4.2 Execution Version REGISTRATION RIGHTS AGREEMENT BY AND AMONG DYNEGY INC., THE SUBSIDIARY GUARANTORS PARTY HERETO and Goldman Sachs & Co. LLC as representative of the Initial Purchasers (as defined herein) Dated as of August 21, 2017 $850,000,000 8.125% SENIOR NOTES DUE 2026 OF DYNEGY INC. REGISTRATION RIGHTS AGREEMENT August 21, 2017 Goldman Sachs & Co. LLC As Representative of the Ini |
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| August 21, 2017 |
DYNEGY ANNOUNCES EARLY CASH TENDER OFFER RESULTS Exhibit 99.2 NEWS RELEASE DYNEGY ANNOUNCES EARLY CASH TENDER OFFER RESULTS HOUSTON, TX (August 21, 2017) ? Dynegy Inc. (NYSE: DYN) announced the early results of its previously announced cash tender offer (Tender Offer) to purchase up to a total of $1.25 billion aggregate principal amount of its outstanding 6.75% senior notes due 2019 (Securities), subject to certain terms and conditions. The foll |
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| August 8, 2017 |
DYNEGY REGISTERS SHARES AS REQUIRED BY INVESTOR RIGHTS AGREEMENT EX-99.3 4 a17-188643ex99d3.htm EX-99.3 Exhibit 99.3 NEWS RELEASE FOR IMMEDIATE RELEASE DYNEGY REGISTERS SHARES AS REQUIRED BY INVESTOR RIGHTS AGREEMENT HOUSTON, TX (August 8, 2017) — Dynegy Inc. (NYSE: DYN) has registered shares held by Terawatt (an Energy Capital Partners entity) as required by the Investor Rights Agreement (Agreement). The filing was made six months after closing on the ENGIE tr |
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| August 8, 2017 |
Dynegy 8-K (Current Report/Significant Event) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) August 8, 2017 (August 7, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer of Incorpor |
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| August 8, 2017 |
DYNEGY INCREASES TENDER OFFER CAP AMOUNT EX-99.2 3 a17-188643ex99d2.htm EX-99.2 Exhibit 99.2 NEWS RELEASE FOR IMMEDIATE RELEASE DYNEGY INCREASES TENDER OFFER CAP AMOUNT HOUSTON, TX (August 7, 2017) — Dynegy Inc. (NYSE: DYN) (we, us, our or Dynegy) increased the aggregate principal amount of its outstanding 6.75% senior notes due 2019 (Securities) that it is offering to purchase pursuant to its previously announced tender offer (Tender Of |
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| August 8, 2017 |
DYNEGY UPSIZES AND PRICES $850 MILLION SENIOR NOTES OFFERING Exhibit 99.1 NEWS RELEASE For Immediate Release DYNEGY UPSIZES AND PRICES $850 MILLION SENIOR NOTES OFFERING HOUSTON, TX (August 7, 2017) ? Dynegy Inc. (NYSE: DYN) has priced its offering of $850 million in aggregate principal amount of 8.125% senior notes due 2026 in a private placement (New Notes). In light of strong market interest, the aggregate principal amount of the New Notes offered was in |
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| August 8, 2017 |
424B7 1 a2232871z424b7.htm 424B7 Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(7) Registration No. 333-199179 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Proposed Maximum Offering Price Per Security(1) Proposed Maximum Aggregate Offering Price Amount o |
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| August 7, 2017 |
DYNEGY LAUNCHES CASH TENDER OFFER EX-99.3 4 a17-188642ex99d3.htm EX-99.3 Exhibit 99.3 NEWS RELEASE For Immediate Release DYNEGY LAUNCHES CASH TENDER OFFER HOUSTON, TX (August 7, 2017) — Dynegy Inc. (NYSE: DYN) (we, us, our or Dynegy) announced today that it has commenced a cash tender offer (Tender Offer), subject to certain terms and conditions, to purchase up to a total of $1.2 billion aggregate principal amount (Tender Cap Amou |
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| August 7, 2017 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Exhibit 99.1 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed combined financial information (the Pro Forma Financial Information) sets forth selected historical consolidated financial information for Dynegy and gives effect to the Acquisition, the related financings, and the sale of the Troy and Armstrong facilities, all as described below |
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| August 7, 2017 |
DYNEGY LAUNCHES SENIOR NOTES OFFERING EX-99.2 3 a17-188642ex99d2.htm EX-99.2 Exhibit 99.2 NEWS RELEASE For Immediate Release DYNEGY LAUNCHES SENIOR NOTES OFFERING HOUSTON, TX (August 7, 2017) — Dynegy Inc. (NYSE: DYN) is launching an offering of $600 million in aggregate principal amount of senior notes due 2026 in a private placement (New Notes). Dynegy intends to use the proceeds of the offering, together with approximately $480 mil |
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| August 7, 2017 |
Dynegy 8-K (Current Report/Significant Event) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) August 7, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer of Incorporation) File Numbe |
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| August 4, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 dyn-2017630x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commissi |
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| August 4, 2017 |
EX-10.2 2 dyn-2017630xex102.htm SECOND AMENDMENT TO LETTER OF CREDIT REIMBURSEMENT AGREEMENT EXHIBIT 10.2 EXECUTION VERSION SECOND AMENDMENT TO LETTER OF CREDIT REIMBURSEMENT AGREEMENT This SECOND AMENDMENT TO LETTER OF CREDIT REIMBURSEMENT AGREEMENT (this “Second Amendment”) is entered into as of July 13, 2017, between Dynegy Inc., a Delaware corporation, as account party (the “Account Party”) an |
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| August 3, 2017 |
DYNEGY ANNOUNCES 2017 SECOND QUARTER RESULTS EX-99.1 2 a17-188641ex99d1.htm EX-99.1 Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE DYNEGY ANNOUNCES 2017 SECOND QUARTER RESULTS Summary of Second Quarter 2017 Financial Results (in millions): Three Months Ended June 30, Six Months Ended June 30, 2017 2016 2017 2016 Operating Revenues $ 1,164 $ 904 $ 2,411 $ 2,027 Net Income (loss) $ (296 ) $ (803 ) $ 300 $ (813 ) Adjusted EBITDA (1) $ 240 $ 18 |
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| August 3, 2017 |
8-K 1 a17-1886418k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) August 3, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 13, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a17-1724728k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 13, 2017 (July 10, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or other jurisdiction o |
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| July 13, 2017 |
Exhibit 2.1 Execution Version Dated as of July 10, 2017 Purchase and Sale Agreement between Dynegy Resources Generating Holdco, LLC and ANP Funding I, LLC, as the Sellers, and Marco DM Holdings, L.L.C., as the Purchaser Table of Contents Page ARTICLE I DEFINITIONS AND RULES OF CONSTRUCTION 1 Section 1.01 Definitions 1 Section 1.02 Rules of Construction 10 ARTICLE II PURCHASE AND SALE 11 Section 2. |
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| July 12, 2017 |
Exhibit 2.1 Execution Version MEMBERSHIP INTEREST PURCHASE AGREEMENT by and between Dynegy Inc., as the Seller, and Bruce Power, LLC, as the Purchaser Dated as of July 10, 2017 TABLE OF CONTENTS Page ARTICLE 1 Definitions and Rules of Construction 1 SECTION 1.01 Definitions 1 SECTION 1.02 Rules of Construction 1 ARTICLE 2 Purchase and Sale 3 SECTION 2.01 Purchase and Sale of Interests 3 SECTION 2. |
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| July 12, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 a17-1724718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 12, 2017 (July 10, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or other jurisdiction o |
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| July 12, 2017 |
DYNEGY REACHES AGREEMENT TO SELL THREE POWER GENERATING ASSETS Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE DYNEGY REACHES AGREEMENT TO SELL THREE POWER GENERATING ASSETS HOUSTON (July 11, 2017) Dynegy Inc. (NYSE: DYN) has reached agreement to sell three of its generating plants for approximately $300 million. Combined with the previously announced LS Power transaction, a total of approximately $780 million in aggregate sales proceeds will be used primar |
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| June 28, 2017 |
Dynegy 8-K (Current Report/Significant Event) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) June 28, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer of Incorporation) File Number |
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| June 28, 2017 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.2 4 a17-146831ex99d2.htm EX-99.2 Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed combined financial information (the “Pro Forma Financial Information”) sets forth selected historical consolidated financial information for Dynegy and gives effect to the Acquisition, the related financings, and the sale of the Troy and Armst |
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| June 28, 2017 |
EX-99.1 3 a17-146831ex99d1.htm EX-99.1 Exhibit 99.1 Thermal Assets (Combined Financial Statements of Certain Wholly Owned Subsidiaries of GDF SUEZ Energy North America, Inc., See Note 1) Combined Financial Statements and Independent Auditors’ Report as of and for the Year ended December 31, 2016 Deloitte & Touche LLP Suite 4500 1111 Bagby Street Houston, TX 77002-2591 USA Tel: +1 713 982 2000 Fax: |
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| June 2, 2017 |
EX-99.1 2 d514341dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsibl |
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| June 2, 2017 |
DYN / Dynegy Inc. / Energy Capital Partners III, LLC - SC 13D/A Activist Investment SC 13D/A United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed Pursuant to § 240.13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 1)* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) Ch |
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| May 19, 2017 |
Submission of Matters to a Vote of Security Holders 8-K 1 a17-1389018k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) May 19, 2017 (May 18, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) |
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| May 5, 2017 |
[EXECUTION VERSION] EXHIBIT 10.7 AMENDMENT AND WAIVER AGREEMENT This AMENDMENT AND WAIVER AGREEMENT, dated as of February 2, 2017 (this ?Agreement?), is made by and among Illinois Power Marketing Company, an Illinois corporation (the ?Applicant?), and MUFG Union Bank, N.A. (formerly known as Union Bank, N.A.) (together with its successors and assigns, the ?Bank?). PRELIMINARY STATEMENTS 1.The Appl |
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| May 5, 2017 |
[EXECUTION VERSION] EXHIBIT 10.8 AMENDMENT AGREEMENT This AMENDMENT AGREEMENT, dated as of March 8, 2017 (this ?Agreement?), is made by and among Illinois Power Marketing Company, an Illinois corporation (the ?Applicant?), and MUFG Union Bank, N.A. (formerly known as Union Bank, N.A.) (together with its successors and assigns, the ?Bank?). PRELIMINARY STATEMENTS 1.The Applicant and the Bank are pa |
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| May 5, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 dyn-2017331x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commiss |
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| May 5, 2017 |
EX-10.1 2 dyn-2017331xex101.htm FORM OF PERFORMANCE AWARD AGREEMENT (CEO) EXHIBIT 10.1 FORM OF PERFORMANCE AWARD AGREEMENT (CEO) THIS PERFORMANCE AWARD AGREEMENT (this “Agreement”) is made as of the 1 day of March, 2017, between DYNEGY INC., a Delaware corporation (“Dynegy”), and all of its Affiliates (collectively, the “Company”), and Robert Flexon (“Employee”). A copy of the Amended and Restated |
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| May 5, 2017 |
EXHIBIT 10.2 FORM OF PERFORMANCE AWARD AGREEMENT (EVP) THIS PERFORMANCE AWARD AGREEMENT (this ?Agreement?) is made as of the 1 day of March, 2017, between DYNEGY INC., a Delaware corporation (?Dynegy?), and all of its Affiliates (collectively, the ?Company?), and Named Employee (?Employee?). A copy of the Amended and Restated Dynegy Inc. 2012 Long Term Incentive Plan (the ?Plan?) is annexed to thi |
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| May 5, 2017 |
EX-10.6 7 dyn-2017331xex106.htm FORM OF NON-QUALIFIED STOCK OPTION AWARD AGREEMENT (EXECUTIVE) EXHIBIT 10.6 FORM OF NON-QUALIFIED STOCK OPTION AWARD AGREEMENT (EXECUTIVE) THIS NON-QUALIFIED STOCK OPTION AWARD AGREEMENT (this “Agreement”) is made as of the 1 day of March, 2017, between DYNEGY INC., a Delaware corporation (“Dynegy”), and all of its Affiliates (collectively, the “Company”), and Named |
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| May 5, 2017 |
EXHIBIT 10.3 FORM OF STOCK UNIT AWARD AGREEMENT (CEO) THIS STOCK UNIT AWARD AGREEMENT (this ?Agreement?) is made as of the 1 day of March, 2017, between DYNEGY INC., a Delaware corporation (?Dynegy?), and all of its Affiliates (collectively, the ?Company?), and Robert Flexon (the ?Employee?). A copy of the Amended and Restated Dynegy Inc. 2012 Long Term Incentive Plan (the ?Plan?) is annexed to th |
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| May 5, 2017 |
EX-95.1 15 dyn-201733110qxex951.htm MINE SAFETY DISCLOSURE Exhibit 95.1 MINE SAFETY VIOLATIONS AND OTHER LEGAL MATTER DISCLOSURES PURSUANT TO SECTION 1503(a) OF THE DODD-FRANK WALL STREET REFORM AND CONSUMER PROTECTION ACT Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) requires issuers that are operators, or that have subsidiaries that is an op |
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| May 5, 2017 |
EXHIBIT 10.4 FORM OF STOCK UNIT AWARD AGREEMENT (EVP) THIS STOCK UNIT AWARD AGREEMENT (this ?Agreement?) is made as of the 1 day of March, 2017, between DYNEGY INC., a Delaware corporation (?Dynegy?), and all of its Affiliates (collectively, the ?Company?), and Named Employee (the ?Employee?). A copy of the Amended and Restated Dynegy Inc. 2012 Long Term Incentive Plan (the ?Plan?) is annexed to t |
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| May 5, 2017 |
[EXECUTION DRAFT] EXHIBIT 10.9 SECOND AMENDMENT AGREEMENT This SECOND AMENDMENT AGREEMENT, dated as of April 21, 2017 (this ?Agreement?), is made by and among Illinois Power Marketing Company, an Illinois corporation (the ?Applicant?), and MUFG Union Bank, N.A. (formerly known as Union Bank, N.A.) (together with its successors and assigns, the ?Bank?). PRELIMINARY STATEMENTS 1.The Applicant and th |
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| May 5, 2017 |
EX-10.5 6 dyn-2017331xex105.htm FORM OF NON-QUALIFIED STOCK OPTION AWARD AGREEMENT (CEO) EXHIBIT 10.5 FORM OF NON-QUALIFIED STOCK OPTION AWARD AGREEMENT (CEO) THIS NON-QUALIFIED STOCK OPTION AWARD AGREEMENT (this “Agreement”) is made as of the 1 day of March, 2017, between DYNEGY INC., a Delaware corporation (“Dynegy”), and all of its Affiliates (collectively, the “Company”), and Robert Flexon (“E |
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| May 4, 2017 |
DYNEGY ANNOUNCES 2017 FIRST QUARTER RESULTS EX-99.1 2 a17-124301ex99d1.htm EX-99.1 Exhibit 99.1 NEWS RELEASE DYNEGY ANNOUNCES 2017 FIRST QUARTER RESULTS Summary of First Quarter 2017 Financial Results (in millions): Three Months Ended March 31, 2017 2016 Operating Revenues $ 1,247 $ 1,123 Net Income (loss) $ 597 $ (10 ) Adjusted EBITDA (1) $ 230 $ 251 2017 Guidance Ranges (in millions): Adjusted EBITDA (1) $1,200 - $1,400 Adjusted Free Cash |
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| May 4, 2017 |
8-K 1 a17-1243018k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) May 4, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| April 24, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a17-1172918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 24, 2017 (April 21, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or other jurisdiction |
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| April 24, 2017 |
Exhibit 2.1 Execution Version ASSET PURCHASE AGREEMENT by and among AES Ohio Generation, LLC and The Dayton Power and Light Company as Seller Parties and Dynegy Zimmer, LLC and Dynegy Miami Fort, LLC as Buyers Dated as of April 21, 2017 ARTICLE 1 DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Interpretation 16 ARTICLE 2 PURCHASE AND SALE 17 Section 2.1 Seller Restructuring 17 Section 2.2 Acqu |
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| April 11, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 a17-1118318k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) April 11, 2017 (April 10, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporat |
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| April 11, 2017 |
DYNEGY PROVIDES 2017 AND 2018 FINANCIAL FORECAST Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE DYNEGY PROVIDES 2017 AND 2018 FINANCIAL FORECAST HOUSTON (April 11, 2017) ?Dynegy Inc. (NYSE: DYN) is providing its internal 2017 and 2018 Adjusted EBITDA forecast estimates and will hold an investor call this morning at 8:00 am central/9:00am eastern. The materials to be discussed, and the webcast information, will be accessible via the Investors se |
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| March 30, 2017 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 30, 2017 (November 18, 2016) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. E |
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| March 30, 2017 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.2 2 a17-76871ex99d2.htm EX-99.2 Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed combined financial information (the “Pro Forma Financial Information”) sets forth selected historical consolidated financial information for Dynegy and gives effect to the Acquisition, the related financings, and the ECP Buyout as well as the p |
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| March 30, 2017 |
DEFA14A 1 a17-22143defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| March 30, 2017 |
DEF 14A 1 a2231471zdef14a.htm DEF 14A QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary P |
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| March 3, 2017 |
8-K 1 a17-757418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 3, 2017 (March 1, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or other jurisdiction (C |
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| March 3, 2017 |
Exhibit 3.1 DYNEGY INC. SEVENTH AMENDED AND RESTATED BYLAWS ARTICLE I CORPORATE OFFICES Section 1. Delaware Registered Office. The registered office of the corporation shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. Other Offices. The corporation may also have offices at such other places both within and without the State of Delaware as the board of director |
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| February 28, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a17-705838k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2017 (February 23, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or other jurisdi |
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| February 28, 2017 |
Exhibit 2.1 Execution Version MEMBERSHIP INTEREST PURCHASE AGREEMENT by and between Dynegy Inc., as the Seller, and Spruce Generation, LLC, as the Purchaser Dated as of February 23, 2017 TABLE OF CONTENTS Page ARTICLE 1 Definitions and Rules of Construction 1 SECTION 1.01 Definitions 1 SECTION 1.02 Rules of Construction 1 ARTICLE 2 Purchase and Sale 3 SECTION 2.01 Purchase and Sale of Interests 3 |
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| February 28, 2017 |
Exhibit 2.2 Execution Copy ASSET PURCHASE AGREEMENT by and between AEP Generation Resources Inc. as Seller and Dynegy Zimmer, LLC as Buyer Dated as of February 23, 2017 Wm. H. Zimmer Generating Station TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.1 Definitions 1 ARTICLE 2 PURCHASE AND SALE 13 Section 2.1 Acquired Assets 13 Section 2.2 Excluded Assets 14 Section 2.3 Assumed Liabilities |
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| February 28, 2017 |
Exhibit 2.3 Execution Copy ASSET PURCHASE AGREEMENT by and between Dynegy Conesville, LLC as Seller and AEP Generation Resources Inc. as Buyer Dated as of February 23, 2017 Unit 4 Conesville Generating Station TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.1 Definitions 1 ARTICLE 2 PURCHASE AND SALE 13 Section 2.1 Acquired Assets 13 Section 2.2 Excluded Assets 14 Section 2.3 Assumed Liab |
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| February 24, 2017 |
8-A12B 1 a17-705518a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 20-5653152 (State or other jurisdiction of incorporation) (IRS Employer Identification |
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| February 24, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 10-K 1 dyn-2016123110k.htm 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to DYNEGY INC. |
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| February 24, 2017 |
EX-4.8 3 dyn-2016123110kxex48.htm SEVENTH SUPPLEMENTAL INDENTURE TO THE 2023 NOTES INDENTURE Exhibit 4.8 EXECUTION VERSION SEVENTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SEVENTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of February 7, 2017, among the Subsidiary Guarantors listed on Schedule I (the “Guaranteeing Subsidiaries”), each a wholly-owned domestic subsidiary of |
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| February 24, 2017 |
EX-21.1 13 dyn-2016123110kxex211.htm SIGNIFICANT SUBSIDIARIES OF THE REGISTRANT Exhibit 21.1 Significant Subsidiaries of Dynegy Inc As of December 31, 2016 SUBSIDIARY STATE OR COUNTRY OF INCORPORATION OR ORGANIZATION 1. Dynegy Gas Investments, LLC Delaware 2. Illinova Corporation Illinois 3. Dynegy Resource Holdings, LLC Delaware 4. Dynegy Finance IV, Inc. (1) Delaware 5. Dynegy Coal Holdco, LLC D |
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| February 24, 2017 |
Exhibit 4.33 EXECUTION VERSION SEVENTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SEVENTH SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 7, 2017, among the Subsidiary Guarantors listed on Schedule I hereto (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), th |
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| February 24, 2017 |
Exhibit 4.35 EXECUTION VERSION FIRST SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES FIRST SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 2, 2017, among the Subsidiary Guarantors listed on Schedule I (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), the Company, |
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| February 24, 2017 |
Exhibit 4.16 EXECUTION VERSION SIXTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SIXTH SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 2, 2017, among the Subsidiary Guarantors listed on Schedule I hereto (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), the Co |
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| February 24, 2017 |
Exhibit 4.36 EXECUTION VERSION SECOND SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SECOND SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 7, 2017, among the Subsidiary Guarantors listed on Schedule I (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), the Company |
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| February 24, 2017 |
Exhibit 4.41 EXECUTION VERSION FIRST SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES FIRST SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of February 7, 2017, among the Subsidiary Guarantors listed on Schedule I (the “Guaranteeing Subsidiaries”), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the “Company”), the Company, |
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| February 24, 2017 |
Exhibit 4.32 EXECUTION VERSION SIXTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SIXTH SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 2, 2017, among the Subsidiary Guarantors listed on Schedule I hereto (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), the Co |
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| February 24, 2017 |
Exhibit 4.25 EXECUTION VERSION SEVENTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SEVENTH SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 7, 2017, among the Subsidiary Guarantors listed on Schedule I hereto (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), th |
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| February 24, 2017 |
Exhibit 4.24 EXECUTION VERSION SIXTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SIXTH SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 2, 2017, among the Subsidiary Guarantors listed on Schedule I hereto (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), the Co |
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| February 24, 2017 |
Exhibit 4.17 EXECUTION VERSION SEVENTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SEVENTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of February 7, 2017, among the Subsidiary Guarantors listed on Schedule I hereto (the “Guaranteeing Subsidiaries”), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the “Company”), th |
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| February 24, 2017 |
Exhibit 4.7 EXECUTION VERSION SIXTH SUPPLEMENTAL INDENTURE SUBSIDIARY GUARANTEES SIXTH SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?), dated as of February 2, 2017, among the Subsidiary Guarantors listed on Schedule I (the ?Guaranteeing Subsidiaries?), each a wholly-owned domestic subsidiary of Dynegy Inc. (or its permitted successor), a Delaware corporation (the ?Company?), the Company, t |
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| February 23, 2017 |
Three Months Ended December 31, Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE DYNEGY ANNOUNCES 2016 RESULTS, PORTFOLIO CHANGES AND UPDATED ACQUISITION SYNERGIES TARGETS Summary of Fourth Quarter and Full-Year 2016 Financial Results (in millions): Three Months Ended December 31, Twelve Months Ended December 31, 2016 2015 2016 2015 Operating Revenues $ 1,107 $ 1,016 $ 4,318 $ 3,870 Net Income (loss) $ (180 ) $ (134 ) $ (1,240 ) |
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| February 23, 2017 |
8-K 1 a17-705818k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 23, 2017 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commissio |
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| February 17, 2017 |
EX-99.1 2 d318716dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsibl |
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| February 17, 2017 |
DYN / Dynegy Inc. / Energy Capital Partners III, LLC - SC 13D Activist Investment SC 13D United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed Pursuant to § 240.13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. )* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) Chris |
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| February 14, 2017 |
EX-99.2 3 v459171ex2.htm EXHIBIT 2 Exhibit 2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned Reporting Persons hereby agrees to the joint filing, along with all other such Reporting Persons, on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stoc |
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| February 14, 2017 |
DYN / Dynegy Inc. / D. E. SHAW & CO, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2) Under the Securities Exchange Act of 1934 Dynegy Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursuant to which the Schedule is |
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| February 14, 2017 |
DYN / Dynegy Inc. / Avenue Capital Management II, L.P. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Dynegy Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 26817R108 (CUSIP Number) November 1, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 14, 2017 |
Dynegy AMENDMENT NO. 5 (Passive Acquisition of More Than 5% of Shares) eh150028613ga3-dynegy.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Dynegy Inc. (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 14, 2017 |
EX-99.1 2 v459171ex1.htm EXHIBIT 1 Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E. Shaw, hereby make, constitute, and appoint each of: Anne Dinning, Julius Gaudio, Martin Lebwohl, Maximilian Stone, David Sweet, Nathan Thomas, and Eric Wepsic, acting individually, as my |
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| February 14, 2017 |
DYN / Dynegy Inc. / Avenue Capital Management II, L.P. - SC 13G/A Passive Investment SC 13G/A 1 a17-44691sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Dynegy Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the app |
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| February 14, 2017 |
Dynegy 3G/A (Passive Acquisition of More Than 5% of Shares) SC 13G/A 1 dynegy3.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 3)* Dynegy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 26817R108 (CUSIP Number) 12/31/2016 (Date of Event Which Requires Filing o |
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| February 14, 2017 |
Agreement of Reporting Persons EX-99.1 2 a17-44691ex99d1.htm EX-99.1 EXHIBIT 99.1 Agreement of Reporting Persons In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended (the “Act”), Avenue Energy Opportunities Fund, L.P., Avenue Energy Opportunities Partners, LLC, Avenue Capital Management II, L.P., Avenue Capital Management II GenPar, LLC and Marc Lasry hereby agree to file jointly the st |
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| February 14, 2017 |
Agreement of Reporting Persons EXHIBIT 99.1 Agreement of Reporting Persons In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended (the “Act”), Avenue Energy Opportunities Fund, L.P., Avenue Energy Opportunities Partners, LLC, Avenue Capital Management II, L.P., Avenue Capital Management II GenPar, LLC and Marc Lasry hereby agree to file jointly the statement on this Schedule 13G (this “Sc |
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| February 13, 2017 |
DYN / Dynegy Inc. / LUMINUS MANAGEMENT LLC - SC 13G/A Passive Investment SC 13G/A 1 d341711dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* (Final Amendment) Dynegy Inc. (Name of Issuer) Common Shares, $0.01 Par Value (Title of Class of Securities) 26817R108 (CUSIP Number) James J. Moloney Gibson, Dunn & Crutcher LLP 3161 Michelson Drive Irvine, CA 9261 |
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| February 10, 2017 |
DYN / Dynegy Inc. / Point72 Asset Management, L.P. - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* DYNEGY INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 26817R108 (CUSIP Number) February 9, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 10, 2017 |
EX-99.1 2 d19902711b.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behal |
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| February 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 9, 2017 (February 7, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Em |
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| February 9, 2017 |
Dynegy 3G/A (Passive Acquisition of More Than 5% of Shares) dynegyinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3 )* Name of issuer: Dynegy Inc Title of Class of Securities: Common Stock CUSIP Number: 26817R108 Date of Event Which Requires Filing of this Statement: December 31, 2016 Check the appropriate box to designate th |
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| February 9, 2017 |
EX-10.3 3 a17-39132ex10d3.htm EX-10.3 Exhibit 10.3 EXECUTION VERSION LETTER OF CREDIT REIMBURSEMENT AGREEMENT, dated as of February 7, 2017, between DYNEGY INC., a Delaware corporation, as account party (the “Account Party”), and GOLDMAN SACHS BANK USA, a bank chartered under the laws of the State of New York, as issuing bank (in such capacity, together with its successors and permitted assigns in |
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| February 9, 2017 |
EX-10.2 2 a17-39132ex10d2.htm EX-10.2 Exhibit 10.2 Execution Version FIFTH AMENDMENT TO CREDIT AGREEMENT This FIFTH AMENDMENT TO CREDIT AGREEMENT (this “Fifth Amendment”) is entered into as of February 7, 2017 among Dynegy Inc., a Delaware corporation (the “Borrower”), the Guarantors party hereto, Credit Suisse AG, Cayman Islands Branch, as administrative agent (in such capacity, the “Administrati |
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| February 8, 2017 |
EX-10.1 3 a17-39131ex10d1.htm EX-10.1 Exhibit 10.1 EXECUTION VERSION INVESTOR RIGHTS AGREEMENT This Investor Rights Agreement (this “Agreement”) is made and entered into as of February 7, 2017, by and between Dynegy Inc., a Delaware corporation (“Dynegy”), and Terawatt Holdings, LP, a Delaware limited partnership (“Purchaser” and, together with Dynegy, the “Parties”). WHEREAS, pursuant to the Stoc |
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| February 8, 2017 |
EX-99.1 4 a17-39131ex99d1.htm EX-99.1 Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE DYNEGY COMPLETES ACQUISITION OF ENGIE’S U.S. PORTFOLIO —Bolsters Dynegy’s Position as the Premier, Low-Cost Independent Power Producer— HOUSTON (February 7, 2017) — Dynegy Inc. (NYSE: DYN) today completed its acquisition of ENGIE’s United States portfolio for a total purchase price of $3.3 billion. The portfolio |
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| February 8, 2017 |
Exhibit 2.2 Execution Version FIRST AMENDMENT TO AMENDED AND RESTATED STOCK PURCHASE AGREEMENT This First Amendment to Amended and Restated Stock Purchase Agreement (this Amendment) is made and entered into as of January 24, 2017, by and among Atlas Power Finance, LLC, a Delaware limited liability company (Purchaser), GDF SUEZ Energy North America, Inc., a Delaware corporation (the Company), |
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| February 8, 2017 |
8-K 1 a17-391318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 8, 2017 (February 7, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or other jurisdict |
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| February 7, 2017 |
EX-4.1 2 a17-34222ex4d1.htm EX-4.1 Exhibit 4.1 EXECUTION VERSION WARRANT AGREEMENT BETWEEN DYNEGY INC. AND COMPUTERSHARE INC. AND COMPUTERSHARE TRUST COMPANY, N.A., AS WARRANT AGENT February 2, 2017 Table of Contents Page SECTION 1. Appointment of Warrant Agent 1 SECTION 2. Issuance and Form of Warrants 1 SECTION 3. Execution of Warrants by the Company 2 SECTION 4. Registration and Countersignatur |
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| February 7, 2017 |
ILLINOIS POWER GENERATING COMPANY EMERGES FROM CHAPTER 11 EX-99.1 4 a17-34222ex99d1.htm EX-99.1 Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE ILLINOIS POWER GENERATING COMPANY EMERGES FROM CHAPTER 11 HOUSTON (February 2, 2017) —Dynegy Inc. (NYSE: DYN) and Illinois Power Generating Company (Genco), an indirect, wholly owned subsidiary of Dynegy, announced that Genco emerged earlier today from its Chapter 11 restructuring after successfully implementing |
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| February 7, 2017 |
EX-4.2 3 a17-34222ex4d2.htm EX-4.2 Exhibit 4.2 EXECUTION VERSION DYNEGY INC. AND EACH OF THE SUBSIDIARY GUARANTORS PARTY HERETO 8.034% SENIOR NOTES DUE 2024 INDENTURE Dated as of February 2, 2017 Wilmington Trust, National Association as Trustee CROSS-REFERENCE TABLE Trust Indenture Act Section Indenture Section 310 (a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (a)(5) 7.10 (b) 7.10 (c) N.A. 311 |
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| February 7, 2017 |
8-K 1 a17-342228k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 6, 2017 (February 2, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdict |
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| January 31, 2017 |
CORRESP 1 filename1.htm January 31, 2017 VIA EDGAR AND ELECTRONIC MAIL U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Jacqueline Kaufman Re: Dynegy Inc. Application for Qualification of Indenture on Form T-3 Filed November 7, 2016 File No. 022-29032 Application for Qualification of Indenture on Form T-3 Filed November 22, 201 |
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| January 30, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION Exhibit 2.2 ENTERED 01/25/2017 IN THE UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION § In re: § Case No. 16-36326 (MI) § ILLINOIS POWER GENERATING § Chapter II COMPANY, § § Debtor.(1) § § ORDER APPROVING DEBTORS DISCLOSURE STATEMENT FOR, AND CONFIRMING, THE DEBTORS PREPACKAGED CHAPTER 11 PLAN [Related to Docket Nos. 6 and 15] Illinois Power Generating Company |
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| January 30, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits, Bankruptcy or Receivership 8-K 1 a17-330618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) January 30, 2017 (January 25, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdict |
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| January 30, 2017 |
ILLINOIS POWER GENERATING COMPANY’S REORGANIZATION PLAN CONFIRMED Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE ILLINOIS POWER GENERATING COMPANYS REORGANIZATION PLAN CONFIRMED HOUSTON (January 25, 2017) Dynegy Inc. (NYSE: DYN) and Illinois Power Generating Company (Genco), an indirect, wholly owned subsidiary of Dynegy, announced that earlier today the United States Bankruptcy Court for the Southern District of Texas, Houston Division, confirmed the Genco C |
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| January 30, 2017 |
DYN / Dynegy Inc. / CARLSON CAPITAL L P - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment SC 13G/A 1 carlsondynegy13ga12312016.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Dynegy Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 26817R108 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing o |
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| January 17, 2017 |
8-K 1 a17-191918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) January 17, 2017 (January 10, 2017) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdict |
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| January 17, 2017 |
Exhibit 10.3 Execution Version FOURTH AMENDMENT TO CREDIT AGREEMENT This FOURTH AMENDMENT TO CREDIT AGREEMENT (this Fourth Amendment) is entered into as of January 10, 2017, among Dynegy Inc., a Delaware corporation (the Borrower), the Guarantors party hereto, each RL Lender listed as an Extending RL Lender, Upsizing Extending RL Lender, Incremental RL Lender, RL Lender and/or Issuing |
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| January 17, 2017 |
DYNEGY LENDERS AGREE TO REPRICE AND UPSIZE ITS TERM LOAN C EX-99.1 3 a17-19191ex99d1.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE DYNEGY LENDERS AGREE TO REPRICE AND UPSIZE ITS TERM LOAN C — Company to save approximately $100 million in interest expense over life of loan — HOUSTON (January 17, 2017) —Dynegy Inc. (NYSE: DYN) will reprice its $2 billion Term Loan C, which will be incurred in connection with the pending ENGIE portfolio acquisition. The Com |
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| December 14, 2016 |
EX-10.1 2 a16-229412ex10d1.htm EX-10.1 Exhibit 10.1 WAIVER AND CONSENT TO CREDIT AGREEMENT This WAIVER AND CONSENT TO CREDIT AGREEMENT (this “Waiver”) is entered into as of December 13, 2016, among Dynegy Inc., a Delaware corporation (the “Borrower”), the subsidiaries of the Borrower party hereto and the Lenders party hereto. Unless otherwise indicated, all capitalized terms used herein and not ot |
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| December 14, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 14, 2016 (December 13, 2016) DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer of In |
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| December 9, 2016 |
ILLINOIS POWER GENERATING COMPANY FILED FOR COURT APPROVAL OF PREPACKAGED REORGANIZATION PLAN Exhibit 99.1 News Release FOR IMMEDIATE RELEASE ILLINOIS POWER GENERATING COMPANY FILED FOR COURT APPROVAL OF PREPACKAGED REORGANIZATION PLAN HOUSTON (December 9, 2016) Dynegy Inc. (NYSE: DYN) and Illinois Power Generating Company (Genco), an indirect, wholly owned subsidiary of Dynegy, announced today that they received the requisite accepting votes in favor of a prepackaged plan of reorganizat |
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| December 9, 2016 |
8-K 1 a16-2294118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 9, 2016 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I |
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| November 22, 2016 |
CORRESP 1 filename1.htm November 22, 2016 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Jacqueline Kaufman Re: Dynegy Inc. Application for Qualification of Indenture on Form T-3 Filed November 7, 2016 File No. 022-29032 Dear Ms. Kaufman: On behalf of our client, Dynegy Inc. (the “Company”), we are submitting this l |
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| November 18, 2016 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.2 3 a16-217271ex99d2.htm EX-99.2 Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed combined financial information (the “Pro Forma Financial Information”) sets forth selected historical consolidated financial information for Dynegy and gives effect to the Acquisition, the related financings, and the ECP Buyout as well as the |
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| November 18, 2016 |
Exhibit 99.1 Thermal Assets (Unaudited Combined Financial Statements of certain wholly owned subsidiaries of GDF SUEZ Energy North America, Inc., See Note 1) Unaudited Combined Financial Statements as of September 30, 2016 and December 31, 2015 and for the Three and Nine Months Ended September 30, 2016 and 2015 THERMAL ASSETS UNAUDITED COMBINED BALANCE SHEETS AS OF SEPTEMBER 30, 2016 AND DECEMBER |
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| November 18, 2016 |
Financial Statements and Exhibits, Other Events 8-K 1 a16-2172718k.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) November 18, 2016 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employe |
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| November 7, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) November 7, 2016 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction (Commission (I.R.S. Employer of Incorpora |
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| November 7, 2016 |
EX-99.1 2 a16-211951ex99d1.htm EX-99.1 Exhibit 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE NR16-37 ILLINOIS POWER GENERATING COMPANY RESTRUCTURING TRANSACTION LAUNCHED HOUSTON (November 7, 2016) — Dynegy Inc. (Dynegy) (NYSE: DYN) and Illinois Power Generating Company (Genco), an indirect, wholly owned subsidiary of Dynegy, launched a restructuring transaction today with respect to Genco’s outstanding |
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| November 7, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) November 7, 2016 DYNEGY INC. (Exact name of registrant as specified in its charter) Delaware 001-33443 20-5653152 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| November 7, 2016 |
Exhibit T3A-128 |
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| November 7, 2016 |
Exhibit T3A-119 |
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| November 7, 2016 |
Exhibit T3B-63 |
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| November 7, 2016 |
EX-99.T3B-66 47 a16-211961ex99dt3b66.htm EX-99.T3B-66 Exhibit T3B-66 |
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| November 7, 2016 |
Exhibit T3B-70 |
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| November 7, 2016 |
EX-99.T3E 57 a16-211961ex99dt3e.htm EX-99.T3E Exhibit T3E OFFERING MEMORANDUM AND INDENTURE CONSENT SOLICITATION STATEMENT AND DISCLOSURE STATEMENT SOLICITING ACCEPTANCES OF A PREPACKAGED PLAN OF REORGANIZATION Illinois Power Generating Company Offer to Exchange and Indenture Consent Solicitation in Respect of All Outstanding Senior Notes of Illinois Power Generating Company for New 7-Year Senior |
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| November 7, 2016 |
Exhibit T3A-112 |
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| November 7, 2016 |
Exhibit T3A-114 |
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| November 7, 2016 |
Exhibit T3A-106 |
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| November 7, 2016 |
Exhibit T3A-107 |
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| November 7, 2016 |
Exhibit T3A-108 |
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| November 7, 2016 |
Exhibit T3A-111 |
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| November 7, 2016 |
Exhibit T3A-115 |
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| November 7, 2016 |
Exhibit T3B-73 |
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| November 7, 2016 |
Exhibit T3B-62 |
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| November 7, 2016 |
Exhibit T3B-52 |
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| November 7, 2016 |
Exhibit T3A-130 |
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| November 7, 2016 |
Exhibit T3A-125 |
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| November 7, 2016 |
Exhibit T3B-71 |
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| November 7, 2016 |
Exhibit T3B-68 |
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| November 7, 2016 |
Exhibit T3B-54 |
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| November 7, 2016 |
Exhibit T3B-50 |
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| November 7, 2016 |
Exhibit T3B-47 |
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| November 7, 2016 |
Exhibit 99.T3C DYNEGY INC., as Issuer [ ]% SENIOR NOTES DUE 20[ ] INDENTURE Dated as of [ ], 20[ ] Wilmington Trust, National Association as Trustee CROSS-REFERENCE TABLE Trust Indenture Act Section Indenture Section 310 (a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (a)(5) 7.10 (b) 7.10 (c) N.A. 311 (a) 7.11 (b) 7.11 (c) N.A. 312 (a) 2.05 (b) 12.03 (c) 12.03 313 (a) 7.06 (b)(1) 7.06 (b)(2) 7.06; |
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| November 7, 2016 |
Exhibit T3B-67 |
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| November 7, 2016 |
Exhibit T3B-53 |
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| November 7, 2016 |
Exhibit T3A-126 |
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| November 7, 2016 |
Exhibit T3A-122 |
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| November 7, 2016 |
Exhibit T3A-121 |
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| November 7, 2016 |
Exhibit T3A-129 |
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| November 7, 2016 |
Exhibit T3B-61 |
