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)

 

(Commission File Number)

 

(I.R.S. Employer Identification No.)

 

601 Travis, Suite 1400, Houston, Texas

 

77002

(Address of principal executive offices)

 

(Zip Code)

 

(713) 507-6400

(Registrant’s telephone number, including area code)

 

N.A.

(Former name or former address, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

o            Written communications pursuant to Rule425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company  o

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  o

 

 

 



 

Item 5.07                                    Submission of Matters to a Vote of Security Holders.

 

On May 18, 2017, Dynegy Inc. (“Dynegy”) held its 2017 Annual Meeting of Stockholders. A total of 124,575,640 shares of Dynegy’s common stock were present or represented by proxy at the meeting. During the meeting four proposals were voted upon. The votes were as follows:

 

Proposal 1— Election of eight directors to serve until the 2018 Annual Meeting of Stockholders, or until successors have been elected or appointed.

 

DIRECTOR

 

VOTES FOR

 

VOTES
WITHHELD

 

BROKER
NON-VOTES

 

Robert C. Flexon

 

115,215,277

 

229,237

 

9,131,126

 

Pat Wood III

 

115,029,500

 

415,014

 

9,131,126

 

Hilary E. Ackermann

 

115,218,882

 

225,632

 

9,131,126

 

Paul M. Barbas

 

114,993,408

 

451,106

 

9,131,126

 

Richard Lee Kuersteiner

 

114,931,585

 

512,929

 

9,131,126

 

Tyler G. Reeder

 

115,215,569

 

228,945

 

9,131,126

 

Jeffrey S. Stein

 

114,956,179

 

488,335

 

9,131,126

 

John R. Sult

 

115,215,746

 

228,768

 

9,131,126

 

 

Proposal 2 — Approval, on an advisory basis, of the compensation of Dynegy’s named executive officers described in Dynegy’s 2017 Proxy Statement.

 

VOTES FOR

 

VOTES AGAINST

 

ABSTENTIONS

 

BROKER
NON-VOTES

91,821,151

 

23,586,001

 

37,362

 

9,131,126

 

Proposal 3 — Act upon a proposal, on an advisory basis regarding the frequency of the stockholder vote on the compensation of Dynegy’s named executive officers.

 

ONE YEAR

 

TWO YEARS

 

THREE YEARS

 

ABSTENTIONS

 

BROKER
NON-VOTES

113,436,499

 

65,669

 

1,898,742

 

43,604

 

9,131,126

 

Proposal 4 — Ratification of the appointment of Ernst and Young LLP as Dynegy’s independent registered public accountants for the fiscal year ending December 31, 2017.

 

VOTES FOR

 

VOTES AGAINST

 

ABSTENTIONS

 

BROKER
NON-VOTES

124,396,861

 

106,599

 

72,180

 

 

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SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

DYNEGY INC.

 

(Registrant)

 

 

 

Dated: May 19, 2017

By:

/s/ Catherine C. James

 

Name:

Catherine C. James

 

Title:

Executive Vice President, General Counsel and Chief Compliance Officer

 

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