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DYN » Topics » Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

This excerpt taken from the DYN 10-K filed Feb 28, 2008.

Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

 

Dynegy. The following table sets forth certain information as of December 31, 2007 as it relates to Dynegy’s equity compensation plans for its Class A common stock, the only class with respect to which Dynegy offers equity compensation.

 

Securities Authorized for Issuance Under Equity Compensation Plans

 

Plan Category

    Number of
securities
to be issued upon
exercise of
outstanding
options,
warrants and
rights
(a)
    Weighted-average
exercise price of
outstanding
options, warrants
and rights
(b)
    Number of securities
remaining available
for future issuance
under equity
compensation plans
(excluding securities
reflected in column (a))
(c)

Equity compensation plans approved by security holders

    5,982,159    $ 12.57    12,188,221

Equity compensation plans not approved by security holders (1)

    2,438,201    $ 12.68    3,571,111
    
  
  

Total

    8,420,360    $ 12.60    15,759,332
    
  
  
(1) The plans that were not approved by Dynegy’s security holders are as follows: Extant Inc. 401(K) Plan, Dynegy 2001 Non-Executive Stock Incentive Plan and Dynegy UK Plan. Please read Note 20—Capital Stock—Stock Award Plans for a brief description of Dynegy’s equity compensation plans, including these plans.

 

 

89

We intend to include information regarding ownership of Dynegy’s outstanding securities in Dynegy’s definitive proxy statement for its 2008 annual meeting of stockholders under the heading “Security Ownership of Certain Beneficial Owners and Management”, which information will be incorporated herein by reference; such proxy statement will be filed with the SEC not later than 120 days after December 31, 2007.

 

DHI. Omitted pursuant to General Instruction (1)(2)(c) of Form 10-K.

 

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