401k Plan data: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN plan

DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 401k Plan overview

Plan Name	DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN
Plan identification number	004

DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021). Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

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 NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2015-01-01 SHEILA WALKER
004 2014-01-01 RICHARD KELLY
004 2013-01-01 JULIUS COX
004 2012-01-01 JULIUS COX
004 2011-01-01 JULIUS COX
004 2010-01-01 JULIUS COX
004 2009-01-01 MICHAEL MARTIN JULIUS COX 2010-10-06

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
004	2015-01-01	SHEILA WALKER
004	2014-01-01	RICHARD KELLY
004	2013-01-01	JULIUS COX
004	2012-01-01	JULIUS COX
004	2011-01-01	JULIUS COX
004	2010-01-01	JULIUS COX
004	2009-01-01	MICHAEL MARTIN	JULIUS COX	2010-10-06

Plan Statistics for DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN

401k plan membership statisitcs for DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN

Measure Date Value
2015: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 164
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
2014: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 228
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 9
Number of retired or separated participants receiving benefits 2014-01-01 95
Number of other retired or separated participants entitled to future benefits 2014-01-01 54
Total of all active and inactive participants 2014-01-01 158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 6
Total participants 2014-01-01 164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 228
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 14
Number of retired or separated participants receiving benefits 2013-01-01 84
Number of other retired or separated participants entitled to future benefits 2013-01-01 124
Total of all active and inactive participants 2013-01-01 222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 6
Total participants 2013-01-01 228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 229
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 123
Number of retired or separated participants receiving benefits 2012-01-01 69
Number of other retired or separated participants entitled to future benefits 2012-01-01 30
Total of all active and inactive participants 2012-01-01 222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 6
Total participants 2012-01-01 228
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 NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 233
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 146
Number of retired or separated participants receiving benefits 2011-01-01 53
Number of other retired or separated participants entitled to future benefits 2011-01-01 22
Total of all active and inactive participants 2011-01-01 221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 6
Total participants 2011-01-01 227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 6
2010: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 231
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 176
Number of retired or separated participants receiving benefits 2010-01-01 41
Number of other retired or separated participants entitled to future benefits 2010-01-01 11
Total of all active and inactive participants 2010-01-01 228
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 5
Total participants 2010-01-01 233
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 226
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 182
Number of retired or separated participants receiving benefits 2009-01-01 37
Number of other retired or separated participants entitled to future benefits 2009-01-01 8
Total of all active and inactive participants 2009-01-01 227
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 4
Total participants 2009-01-01 231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	164
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
2014: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	228
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	9
Number of retired or separated participants receiving benefits	2014-01-01	95
Number of other retired or separated participants entitled to future benefits	2014-01-01	54
Total of all active and inactive participants	2014-01-01	158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	6
Total participants	2014-01-01	164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	228
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	14
Number of retired or separated participants receiving benefits	2013-01-01	84
Number of other retired or separated participants entitled to future benefits	2013-01-01	124
Total of all active and inactive participants	2013-01-01	222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	6
Total participants	2013-01-01	228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	229
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	123
Number of retired or separated participants receiving benefits	2012-01-01	69
Number of other retired or separated participants entitled to future benefits	2012-01-01	30
Total of all active and inactive participants	2012-01-01	222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	6
Total participants	2012-01-01	228
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 NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	233
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	146
Number of retired or separated participants receiving benefits	2011-01-01	53
Number of other retired or separated participants entitled to future benefits	2011-01-01	22
Total of all active and inactive participants	2011-01-01	221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	6
Total participants	2011-01-01	227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	6
2010: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	231
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	176
Number of retired or separated participants receiving benefits	2010-01-01	41
Number of other retired or separated participants entitled to future benefits	2010-01-01	11
Total of all active and inactive participants	2010-01-01	228
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	5
Total participants	2010-01-01	233
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	226
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	182
Number of retired or separated participants receiving benefits	2009-01-01	37
Number of other retired or separated participants entitled to future benefits	2009-01-01	8
Total of all active and inactive participants	2009-01-01	227
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	4
Total participants	2009-01-01	231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN

Measure	Date	Value
2015 : DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$49,266,621
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Expenses. Interest paid	2015-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$-1,317,292
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$4,531,720
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$4,371,374
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$0
Value of total assets at end of year	2015-12-31	$0
Value of total assets at beginning of year	2015-12-31	$55,115,633
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$160,346
Total interest from all sources	2015-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$5,680
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$19,561
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-5,849,012
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$55,115,633
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$135,105
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$55,115,633
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$4,371,374
Contract administrator fees	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	MCCONNELL & JONES L.L.P.
Accountancy firm EIN	2015-12-31	760488832
2014 : DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$7,013,271
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$8,977,885
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$8,848,730
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$0
Value of total assets at end of year	2014-12-31	$55,115,633
Value of total assets at beginning of year	2014-12-31	$57,080,247
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$129,155
Total interest from all sources	2014-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$45,073
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Administrative expenses (other) incurred	2014-12-31	$9,813
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-1,964,614
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$55,115,633
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$57,080,247
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$74,269
Value of interest in master investment trust accounts at end of year	2014-12-31	$55,115,633
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$56,880,247
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$200,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$8,848,730
Contract administrator fees	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MCCONNELL & JONES L.L.P.
Accountancy firm EIN	2014-12-31	760488832
2013 : DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$5,667,808
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$3,582,794
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$3,397,566
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$200,000
Value of total assets at end of year	2013-12-31	$57,080,247
Value of total assets at beginning of year	2013-12-31	$54,995,233
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$185,228
Total interest from all sources	2013-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Administrative expenses (other) incurred	2013-12-31	$10,095
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,085,014
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$57,080,247
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$54,995,233
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$175,133
Value of interest in master investment trust accounts at end of year	2013-12-31	$56,880,247
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$53,693,233
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$200,000
Employer contributions (assets) at end of year	2013-12-31	$200,000
Employer contributions (assets) at beginning of year	2013-12-31	$1,302,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$3,397,566
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MCCONNELL & JONES L.L.P.
Accountancy firm EIN	2013-12-31	760488832
2012 : DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$8,936,490
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,865,301
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,744,327
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,965,000
Value of total assets at end of year	2012-12-31	$54,995,233
Value of total assets at beginning of year	2012-12-31	$48,924,044
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$120,974
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$30,116
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Administrative expenses (other) incurred	2012-12-31	$12,384
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$6,071,189
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$54,995,233
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$48,924,044
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$78,474
Value of interest in master investment trust accounts at end of year	2012-12-31	$53,693,233
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$46,828,044
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,965,000
Employer contributions (assets) at end of year	2012-12-31	$1,302,000
Employer contributions (assets) at beginning of year	2012-12-31	$2,096,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,744,327
Contract administrator fees	2012-12-31	$0
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MCCONNELL & JONES L.L.P.
Accountancy firm EIN	2012-12-31	760488832
2011 : DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME 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	$6,527,090
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,380,104
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,306,905
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$4,088,000
Value of total assets at end of year	2011-12-31	$48,924,044
Value of total assets at beginning of year	2011-12-31	$44,777,058
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$73,199
Total interest from all sources	2011-12-31	$0
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	$70,621
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$25,000,000
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
Administrative expenses (other) incurred	2011-12-31	$2,578
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	$4,146,986
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$48,924,044
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$44,777,058
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
Value of interest in master investment trust accounts at end of year	2011-12-31	$46,828,044
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$44,649,058
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	$4,088,000
Employer contributions (assets) at end of year	2011-12-31	$2,096,000
Employer contributions (assets) at beginning of year	2011-12-31	$128,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,306,905
Did the plan have assets held for investment	2011-12-31	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	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 L.L.P.
Accountancy firm EIN	2011-12-31	760488832
2010 : DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME 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	$6,284,943
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,013,208
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,929,949
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$512,000
Value of total assets at end of year	2010-12-31	$44,777,058
Value of total assets at beginning of year	2010-12-31	$40,505,323
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$83,259
Total interest from all sources	2010-12-31	$0
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	$69,488
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$25,000,000
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
Administrative expenses (other) incurred	2010-12-31	$11,521
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	$4,271,735
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$44,777,058
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$40,505,323
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
Value of interest in master investment trust accounts at end of year	2010-12-31	$44,649,058
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$37,981,323
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	$512,000
Employer contributions (assets) at end of year	2010-12-31	$128,000
Employer contributions (assets) at beginning of year	2010-12-31	$2,524,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,929,949
Contract administrator fees	2010-12-31	$2,250
Did the plan have assets held for investment	2010-12-31	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	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 L.L.P.
Accountancy firm EIN	2010-12-31	760488832
2009 : DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME 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 NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN

2015: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME 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	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME 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	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
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	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: DYNEGY NORTHEAST GENERATION, INC. RETIREMENT INCOME PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
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	Yes
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