0001104659-18-001751.txt : 20180111
0001104659-18-001751.hdr.sgml : 20180111
20180111083037
ACCESSION NUMBER: 0001104659-18-001751
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180109
FILED AS OF DATE: 20180111
DATE AS OF CHANGE: 20180111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ECP ControlCo, LLC
CENTRAL INDEX KEY: 0001707921
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522745
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Energy Capital Partners GP III, LP
CENTRAL INDEX KEY: 0001697506
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522743
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Energy Capital Partners III-B (Terawatt IP), LP
CENTRAL INDEX KEY: 0001697491
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522740
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Terawatt Holdings GP, LLC
CENTRAL INDEX KEY: 0001697535
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522738
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Terawatt Holdings, LP
CENTRAL INDEX KEY: 0001697533
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522737
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ENERGY CAPITAL PARTNERS III, LLC
CENTRAL INDEX KEY: 0001621292
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522744
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY
STREET 2: SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ENERGY CAPITAL PARTNERS III-C, LP
CENTRAL INDEX KEY: 0001594549
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522739
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY, SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY, SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ENERGY CAPITAL PARTNERS III, LP
CENTRAL INDEX KEY: 0001594546
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522742
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY, SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY, SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ENERGY CAPITAL PARTNERS III-A, LP
CENTRAL INDEX KEY: 0001594547
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33443
FILM NUMBER: 18522741
BUSINESS ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY, SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
BUSINESS PHONE: (973) 671-6100
MAIL ADDRESS:
STREET 1: 51 JOHN F. KENNEDY PARKWAY, SUITE 200
CITY: SHORT HILLS
STATE: NJ
ZIP: 07078
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: DYNEGY INC.
CENTRAL INDEX KEY: 0001379895
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911]
IRS NUMBER: 205653152
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 601 TRAVIS, SUITE 1400
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: (713) 507-6400
MAIL ADDRESS:
STREET 1: 601 TRAVIS, SUITE 1400
CITY: HOUSTON
STATE: TX
ZIP: 77002
FORMER COMPANY:
FORMER CONFORMED NAME: Dynegy Inc..
DATE OF NAME CHANGE: 20070404
FORMER COMPANY:
FORMER CONFORMED NAME: Dynegy Acquisition, Inc..
DATE OF NAME CHANGE: 20070403
FORMER COMPANY:
FORMER CONFORMED NAME: Dynegy Acquisition, Inc.
DATE OF NAME CHANGE: 20061102
4
1
a4.xml
4
X0306
4
2018-01-09
1
0001379895
DYNEGY INC.
DYN
0001707921
ECP ControlCo, LLC
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001621292
ENERGY CAPITAL PARTNERS III, LLC
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001697506
Energy Capital Partners GP III, LP
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001594546
ENERGY CAPITAL PARTNERS III, LP
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001594547
ENERGY CAPITAL PARTNERS III-A, LP
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001697491
Energy Capital Partners III-B (Terawatt IP), LP
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001594549
ENERGY CAPITAL PARTNERS III-C, LP
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001697535
Terawatt Holdings GP, LLC
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
0001697533
Terawatt Holdings, LP
51 JOHN F. KENNEDY PARKWAY
SUITE 200
SHORT HILLS
NJ
07078
0
0
1
0
Common Stock
2018-01-09
4
S
0
5250000
11.79
D
14291152
I
See footnotes
Terawatt Holdings, LP is the record holder of the securities reported herein. ECP Control Co, LLC ("ECP Control Co") is the managing member of Energy Capital Partners III, LLC ("ECP GP"), which is the general partner of Energy Capital Partners GP III, LP ("ECP Fund GP"), which is the general partner of each of Energy Capital Partners III, LP, Energy Capital Partners III-A, Energy Capital Partners III-B (Terawatt IP), LP and Energy Capital Partners III-C, LP (collectively, the "ECP Funds"), which are the sole members of Terawatt Holdings GP, LLC ("Terawatt GP"), which is the general partner of Terawatt Holdings, LP.
Douglas Kimmelman, Thomas Lane, Andrew Singer, Peter Labbat, Tyler Reeder and Rahman D'Argenio are the managing members of ECP ControlCo and share the power to vote and dispose of the securities beneficially owned by ECP ControlCo. As such, each of Terawatt GP, the ECP Funds, ECP Fund GP, ECP GP, ECP ControlCo and Messrs. Kimmelman, Lane, Singer, Labbat, Reeder and D'Argenio may be deemed to have or share beneficial ownership of the Common Stock held directly by Terawatt Holdings. Each such entity or individual disclaims any such beneficial ownership except to the extent of their pecuniary interest therein.
ECP ControlCo, LLC By: /s/ Andrew D. Singer, Manging Member
2018-01-11
Energy Capital Partners III, LLC By: ECP ControlCo, LLC, its managing member By: /s/ Andrew D. Singer, Manging Member
2018-01-11
Energy Capital Partners GP III, LP By: Energy Capital Partners III, LLC, its general partner By: ECP ControlCo, LLC, its managing member By: /s/ Andrew D. Singer, Manging Member
2018-01-11
Energy Capital Partners III, LP By: Energy Capital Partners GP III, LP, its general partner By: Energy Capital Partners III, LLC, its general partner By: ECP ControlCo, LLC, its managing member By: /s/ Andrew D. Singer, Manging Member
2018-01-11
Energy Capital Partners III-A, LP By: Energy Capital Partners GP III, LP, its general partner By: Energy Capital Partners III, LLC, its general partner By: ECP ControlCo, LLC, its managing member By: /s/ Andrew D. Singer, Manging Member
2018-01-11
Energy Capital Partners III-B (Terawatt IP), LP By: Energy Capital Partners GP III, LP, its general partner By: Energy Capital Partners III, LLC, its general partner By: ECP ControlCo, LLC, its managing member By: /s/ Andrew D. Singer, Manging Member
2018-01-11
Energy Capital Partners III-C, LP By: Energy Capital Partners GP III, LP, its general partner By: Energy Capital Partners III, LLC, its general partner By: ECP ControlCo, LLC, its managing member By: /s/ Andrew D. Singer, Manging Member
2018-01-11
Terawatt Holdings GP, LLC By: /s/ Andrew D. Singer, Secretary and General Counsel
2018-01-11
Terawatt Holdings, LP By: Terawatt Holdings GP, LLC, its general partner By: /s/ Andrew D. Singer, Secretary and General Counsel
2018-01-11