401k Plan data: DYNEGY INC. 401K SAVINGS PLAN plan

DYNEGY INC. 401K SAVINGS PLAN 401k Plan overview

Plan Name	DYNEGY INC. 401K SAVINGS PLAN
Plan identification number	001

DYNEGY INC. 401K SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

DYNEGY INC. has sponsored the creation of one or more 401k plans.

Company Name: DYNEGY INC.

Employer identification number (EIN): 205653152

NAIC Classification: 221100

Additional information about DYNEGY INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2007-04-03

Company Identification Number: 0800796786

More information about DYNEGY INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DYNEGY INC. 401K SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 JULIUS COX
001 2011-01-01 JULIUS COX
001 2010-01-01 JULIUS COX
001 2009-01-01 MICHAEL MARTIN JULIUS COX 2010-07-22
001 2009-01-01 MICHAEL MARTIN JULIUS COX 2010-07-21

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	JULIUS COX
001	2011-01-01	JULIUS COX
001	2010-01-01	JULIUS COX
001	2009-01-01	MICHAEL MARTIN	JULIUS COX	2010-07-22
001	2009-01-01	MICHAEL MARTIN	JULIUS COX	2010-07-21

Plan Statistics for DYNEGY INC. 401K SAVINGS PLAN

401k plan membership statisitcs for DYNEGY INC. 401K SAVINGS PLAN

Measure Date Value
2012: DYNEGY INC. 401K SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,796
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: DYNEGY INC. 401K SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2,103
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 711
Number of retired or separated participants receiving benefits 2011-01-01 11
Number of other retired or separated participants entitled to future benefits 2011-01-01 1,061
Total of all active and inactive participants 2011-01-01 1,783
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 13
Total participants 2011-01-01 1,796
Number of participants with account balances 2011-01-01 1,624
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 95
2010: DYNEGY INC. 401K SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 2,337
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 786
Number of retired or separated participants receiving benefits 2010-01-01 7
Number of other retired or separated participants entitled to future benefits 2010-01-01 1,297
Total of all active and inactive participants 2010-01-01 2,090
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 13
Total participants 2010-01-01 2,103
Number of participants with account balances 2010-01-01 2,084
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 51
2009: DYNEGY INC. 401K SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 2,553
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 880
Number of retired or separated participants receiving benefits 2009-01-01 3
Number of other retired or separated participants entitled to future benefits 2009-01-01 1,445
Total of all active and inactive participants 2009-01-01 2,328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 9
Total participants 2009-01-01 2,337
Number of participants with account balances 2009-01-01 2,322
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 103

Measure	Date	Value
2012: DYNEGY INC. 401K SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,796
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: DYNEGY INC. 401K SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2,103
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	711
Number of retired or separated participants receiving benefits	2011-01-01	11
Number of other retired or separated participants entitled to future benefits	2011-01-01	1,061
Total of all active and inactive participants	2011-01-01	1,783
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	13
Total participants	2011-01-01	1,796
Number of participants with account balances	2011-01-01	1,624
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	95
2010: DYNEGY INC. 401K SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	2,337
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	786
Number of retired or separated participants receiving benefits	2010-01-01	7
Number of other retired or separated participants entitled to future benefits	2010-01-01	1,297
Total of all active and inactive participants	2010-01-01	2,090
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	13
Total participants	2010-01-01	2,103
Number of participants with account balances	2010-01-01	2,084
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	51
2009: DYNEGY INC. 401K SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	2,553
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	880
Number of retired or separated participants receiving benefits	2009-01-01	3
Number of other retired or separated participants entitled to future benefits	2009-01-01	1,445
Total of all active and inactive participants	2009-01-01	2,328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	9
Total participants	2009-01-01	2,337
Number of participants with account balances	2009-01-01	2,322
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	103

Financial Data on DYNEGY INC. 401K SAVINGS PLAN

Measure	Date	Value
2012 : DYNEGY INC. 401K SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-04-13	$0
Total transfer of assets from this plan	2012-04-13	$123,226,176
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-04-13	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-04-13	$0
Total income from all sources (including contributions)	2012-04-13	$9,150,001
Total loss/gain on sale of assets	2012-04-13	$0
Total of all expenses incurred	2012-04-13	$7,493,103
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-04-13	$7,443,980
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-04-13	$3,095,313
Value of total assets at end of year	2012-04-13	$0
Value of total assets at beginning of year	2012-04-13	$121,569,278
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-04-13	$49,123
Total interest from all sources	2012-04-13	$18,590
Total dividends received (eg from common stock, registered investment company shares)	2012-04-13	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-04-13	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-04-13	$0
Was this plan covered by a fidelity bond	2012-04-13	Yes
Value of fidelity bond cover	2012-04-13	$15,000,000
If this is an individual account plan, was there a blackout period	2012-04-13	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-04-13	$0
Were there any nonexempt tranactions with any party-in-interest	2012-04-13	No
Contributions received from participants	2012-04-13	$2,237,033
Participant contributions at end of year	2012-04-13	$0
Participant contributions at beginning of year	2012-04-13	$1,676,237
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-04-13	No
Value of net income/loss	2012-04-13	$1,656,898
Value of net assets at end of year (total assets less liabilities)	2012-04-13	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-04-13	$121,569,278
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-04-13	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-04-13	No
Were any leases to which the plan was party in default or uncollectible	2012-04-13	No
Interest on participant loans	2012-04-13	$18,590
Value of interest in master investment trust accounts at end of year	2012-04-13	$0
Value of interest in master investment trust accounts at beginning of year	2012-04-13	$119,792,337
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-04-13	No
Was there a failure to transmit to the plan any participant contributions	2012-04-13	No
Has the plan failed to provide any benefit when due under the plan	2012-04-13	No
Contributions received in cash from employer	2012-04-13	$858,280
Employer contributions (assets) at end of year	2012-04-13	$0
Employer contributions (assets) at beginning of year	2012-04-13	$100,704
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-04-13	$7,443,980
Contract administrator fees	2012-04-13	$49,123
Did the plan have assets held for investment	2012-04-13	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-04-13	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-04-13	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-04-13	No
Opinion of an independent qualified public accountant for this plan	2012-04-13	Unqualified
Accountancy firm name	2012-04-13	MCCONNELL & JONES LLP
Accountancy firm EIN	2012-04-13	760488832
2011 : DYNEGY INC. 401K SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$5,879,019
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$22,828,676
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$22,752,324
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$9,360,788
Value of total assets at end of year	2011-12-31	$121,569,278
Value of total assets at beginning of year	2011-12-31	$138,518,935
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$76,352
Total interest from all sources	2011-12-31	$71,116
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$36,550
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$6,447,216
Participant contributions at end of year	2011-12-31	$1,676,237
Participant contributions at beginning of year	2011-12-31	$1,821,285
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-16,949,657
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$121,569,278
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$138,518,935
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$34,502
Interest on participant loans	2011-12-31	$71,116
Value of interest in master investment trust accounts at end of year	2011-12-31	$119,792,337
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$136,565,028
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$2,913,572
Employer contributions (assets) at end of year	2011-12-31	$100,704
Employer contributions (assets) at beginning of year	2011-12-31	$132,622
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$22,752,324
Contract administrator fees	2011-12-31	$5,300
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	MCCONNELL & JONES LLP
Accountancy firm EIN	2011-12-31	760488832
2010 : DYNEGY INC. 401K SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$21,359,052
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$13,162,244
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$13,087,431
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$11,919,169
Value of total assets at end of year	2010-12-31	$138,518,935
Value of total assets at beginning of year	2010-12-31	$130,322,127
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$74,813
Total interest from all sources	2010-12-31	$92,594
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$13,570
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$8,053,150
Participant contributions at end of year	2010-12-31	$1,821,285
Participant contributions at beginning of year	2010-12-31	$2,052,525
Administrative expenses (other) incurred	2010-12-31	$14,341
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$8,196,808
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$138,518,935
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$130,322,127
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$34,542
Interest on participant loans	2010-12-31	$92,594
Value of interest in master investment trust accounts at end of year	2010-12-31	$136,565,028
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$128,104,485
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$3,866,019
Employer contributions (assets) at end of year	2010-12-31	$132,622
Employer contributions (assets) at beginning of year	2010-12-31	$165,117
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$13,087,431
Contract administrator fees	2010-12-31	$12,360
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	MCCONNELL & JONES LLP
Accountancy firm EIN	2010-12-31	760488832
2009 : DYNEGY INC. 401K SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for DYNEGY INC. 401K SAVINGS PLAN

2012: DYNEGY INC. 401K SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DYNEGY INC. 401K SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: DYNEGY INC. 401K SAVINGS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: DYNEGY INC. 401K SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	DYNEGY INC.
Employer identification number (EIN):	205653152
NAIC Classification:	221100

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2007-04-03
Company Identification Number:	0800796786