4//SEC Filing
DYNEGY INC. 4
Accession 0001140361-12-042787
CIK 0001379895operating
Filed
Oct 2, 8:00 PM ET
Accepted
Oct 3, 5:42 PM ET
Size
20.7 KB
Accession
0001140361-12-042787
Insider Transaction Report
Form 4
DYNEGY INC.DYN
ICAHN CAPITAL LP
10% Owner
Transactions
- Other
Warrants to acquire Shares
2012-10-01+2,291,902→ 2,291,902 total(indirect: please see footnotes)Exercise: $40.00From: 2012-10-02Exp: 2017-10-02→ Common Stock (2,291,902 underlying) - Other
Common Stock, par value $0.01 per share ("Common Shares")
2012-10-01+146,846→ 146,846 total(indirect: please see footnotes)
ICAHN ENTERPRISES G.P. INC.
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share ("Common Shares")
2012-10-01+146,846→ 146,846 total(indirect: please see footnotes) - Other
Warrants to acquire Shares
2012-10-01+2,291,902→ 2,291,902 total(indirect: please see footnotes)Exercise: $40.00From: 2012-10-02Exp: 2017-10-02→ Common Stock (2,291,902 underlying)
BECKTON CORP
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share ("Common Shares")
2012-10-01+146,846→ 146,846 total(indirect: please see footnotes) - Other
Warrants to acquire Shares
2012-10-01+2,291,902→ 2,291,902 total(indirect: please see footnotes)Exercise: $40.00From: 2012-10-02Exp: 2017-10-02→ Common Stock (2,291,902 underlying)
ICAHN ENTERPRISES HOLDINGS L.P.
10% Owner
Transactions
- Other
Common Stock, par value $0.01 per share ("Common Shares")
2012-10-01+146,846→ 146,846 total(indirect: please see footnotes) - Other
Warrants to acquire Shares
2012-10-01+2,291,902→ 2,291,902 total(indirect: please see footnotes)Exercise: $40.00From: 2012-10-02Exp: 2017-10-02→ Common Stock (2,291,902 underlying)
ICAHN CARL C
10% Owner
Transactions
- Other
Warrants to acquire Shares
2012-10-01+2,291,902→ 2,291,902 total(indirect: please see footnotes)Exercise: $40.00From: 2012-10-02Exp: 2017-10-02→ Common Stock (2,291,902 underlying) - Other
Common Stock, par value $0.01 per share ("Common Shares")
2012-10-01+146,846→ 146,846 total(indirect: please see footnotes)
IPH GP LLC
10% Owner
Transactions
- Other
Warrants to acquire Shares
2012-10-01+2,291,902→ 2,291,902 total(indirect: please see footnotes)Exercise: $40.00From: 2012-10-02Exp: 2017-10-02→ Common Stock (2,291,902 underlying) - Other
Common Stock, par value $0.01 per share ("Common Shares")
2012-10-01+146,846→ 146,846 total(indirect: please see footnotes)
Footnotes (8)
- [F1]High River Limited Partnership ("High River") directly beneficially owns 29,369 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 44,851 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 50,774 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 14,697 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 7,155 Shares.
- [F2]Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III.
- [F3]Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
- [F4]Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
- [F5]Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
- [F6]High River directly beneficially owns 458,380 warrants to acquire Shares (the "Warrants"), Icahn Partners directly beneficially owns 700,025 Warrants, Icahn Master directly beneficially owns 792,453 Warrants, Icahn Master II directly beneficially owns 229,380 Warrants, Icahn Master III directly beneficially owns 111,664 Warrants.
- [F7]The Warrants are warrants to purchase one Share at an initial exercise price of $40 and have an expiration date of October 2, 2017.
- [F8]On October 1, 2012, the Issuer completed its Chapter 11 reorganization and emerged from bankruptcy. Each of the Reporting Persons acquired the Shares and the Warrants pursuant to the Issuer's Plan of Reorganization.
Documents
Issuer
DYNEGY INC.
CIK 0001379895
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001379895
Filing Metadata
- Form type
- 4
- Filed
- Oct 2, 8:00 PM ET
- Accepted
- Oct 3, 5:42 PM ET
- Size
- 20.7 KB