401k Plan data: DYNEGY 401(K) PLAN plan

DYNEGY 401(K) PLAN 401k Plan overview

Plan Name	DYNEGY 401(K) PLAN
Plan identification number	005

DYNEGY 401(K) 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.
Stock bonus
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.
Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
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 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2018-01-01
005 2017-01-01 BARBARA MUELLER
005 2016-01-01 DONNA MANZI
005 2015-01-01 SHEILA WALKER
005 2014-01-01 RICHARD KELLY
005 2013-01-01 JULIUS COX
005 2012-01-01 JULIUS COX
005 2011-01-01 JULIUS COX
005 2009-01-01 MICHAEL MARTIN JULIUS COX 2010-07-22

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
005	2018-01-01
005	2017-01-01	BARBARA MUELLER
005	2016-01-01	DONNA MANZI
005	2015-01-01	SHEILA WALKER
005	2014-01-01	RICHARD KELLY
005	2013-01-01	JULIUS COX
005	2012-01-01	JULIUS COX
005	2011-01-01	JULIUS COX
005	2009-01-01	MICHAEL MARTIN	JULIUS COX	2010-07-22

Plan Statistics for DYNEGY 401(K) PLAN

401k plan membership statisitcs for DYNEGY 401(K) PLAN

Measure Date Value
2018: DYNEGY 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 3,929
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
2017: DYNEGY 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 3,733
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 2,567
Number of retired or separated participants receiving benefits 2017-01-01 78
Number of other retired or separated participants entitled to future benefits 2017-01-01 1,245
Total of all active and inactive participants 2017-01-01 3,890
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 39
Total participants 2017-01-01 3,929
Number of participants with account balances 2017-01-01 3,819
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 35
2016: DYNEGY 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 3,839
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 2,419
Number of retired or separated participants receiving benefits 2016-01-01 79
Number of other retired or separated participants entitled to future benefits 2016-01-01 1,197
Total of all active and inactive participants 2016-01-01 3,695
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 38
Total participants 2016-01-01 3,733
Number of participants with account balances 2016-01-01 3,624
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 29
2015: DYNEGY 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 3,173
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 2,493
Number of retired or separated participants receiving benefits 2015-01-01 69
Number of other retired or separated participants entitled to future benefits 2015-01-01 1,245
Total of all active and inactive participants 2015-01-01 3,807
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 32
Total participants 2015-01-01 3,839
Number of participants with account balances 2015-01-01 3,745
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 13
2014: DYNEGY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 3,262
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1,701
Number of retired or separated participants receiving benefits 2014-01-01 64
Number of other retired or separated participants entitled to future benefits 2014-01-01 1,377
Total of all active and inactive participants 2014-01-01 3,142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 31
Total participants 2014-01-01 3,173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 6
2013: DYNEGY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 2,941
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1,690
Number of retired or separated participants receiving benefits 2013-01-01 60
Number of other retired or separated participants entitled to future benefits 2013-01-01 1,480
Total of all active and inactive participants 2013-01-01 3,230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 32
Total participants 2013-01-01 3,262
Number of participants with account balances 2013-01-01 2,816
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 11
2012: DYNEGY 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 570
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,190
Number of retired or separated participants receiving benefits 2012-01-01 62
Number of other retired or separated participants entitled to future benefits 2012-01-01 1,654
Total of all active and inactive participants 2012-01-01 2,906
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 35
Total participants 2012-01-01 2,941
Number of participants with account balances 2012-01-01 2,803
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 11
2011: DYNEGY 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 812
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 130
Number of retired or separated participants receiving benefits 2011-01-01 11
Number of other retired or separated participants entitled to future benefits 2011-01-01 419
Total of all active and inactive participants 2011-01-01 560
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 10
Total participants 2011-01-01 570
Number of participants with account balances 2011-01-01 561
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: DYNEGY 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,573
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 189
Number of retired or separated participants receiving benefits 2009-01-01 6
Number of other retired or separated participants entitled to future benefits 2009-01-01 706
Total of all active and inactive participants 2009-01-01 901
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 7
Total participants 2009-01-01 908
Number of participants with account balances 2009-01-01 900
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2018: DYNEGY 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	3,929
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
2017: DYNEGY 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	3,733
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	2,567
Number of retired or separated participants receiving benefits	2017-01-01	78
Number of other retired or separated participants entitled to future benefits	2017-01-01	1,245
Total of all active and inactive participants	2017-01-01	3,890
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	39
Total participants	2017-01-01	3,929
Number of participants with account balances	2017-01-01	3,819
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	35
2016: DYNEGY 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	3,839
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	2,419
Number of retired or separated participants receiving benefits	2016-01-01	79
Number of other retired or separated participants entitled to future benefits	2016-01-01	1,197
Total of all active and inactive participants	2016-01-01	3,695
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	38
Total participants	2016-01-01	3,733
Number of participants with account balances	2016-01-01	3,624
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	29
2015: DYNEGY 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	3,173
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	2,493
Number of retired or separated participants receiving benefits	2015-01-01	69
Number of other retired or separated participants entitled to future benefits	2015-01-01	1,245
Total of all active and inactive participants	2015-01-01	3,807
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	32
Total participants	2015-01-01	3,839
Number of participants with account balances	2015-01-01	3,745
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	13
2014: DYNEGY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	3,262
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1,701
Number of retired or separated participants receiving benefits	2014-01-01	64
Number of other retired or separated participants entitled to future benefits	2014-01-01	1,377
Total of all active and inactive participants	2014-01-01	3,142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	31
Total participants	2014-01-01	3,173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	6
2013: DYNEGY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	2,941
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1,690
Number of retired or separated participants receiving benefits	2013-01-01	60
Number of other retired or separated participants entitled to future benefits	2013-01-01	1,480
Total of all active and inactive participants	2013-01-01	3,230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	32
Total participants	2013-01-01	3,262
Number of participants with account balances	2013-01-01	2,816
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	11
2012: DYNEGY 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	570
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,190
Number of retired or separated participants receiving benefits	2012-01-01	62
Number of other retired or separated participants entitled to future benefits	2012-01-01	1,654
Total of all active and inactive participants	2012-01-01	2,906
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	35
Total participants	2012-01-01	2,941
Number of participants with account balances	2012-01-01	2,803
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	11
2011: DYNEGY 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	812
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	130
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	419
Total of all active and inactive participants	2011-01-01	560
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	10
Total participants	2011-01-01	570
Number of participants with account balances	2011-01-01	561
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: DYNEGY 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,573
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	189
Number of retired or separated participants receiving benefits	2009-01-01	6
Number of other retired or separated participants entitled to future benefits	2009-01-01	706
Total of all active and inactive participants	2009-01-01	901
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	7
Total participants	2009-01-01	908
Number of participants with account balances	2009-01-01	900
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 401(K) PLAN

Measure	Date	Value
2018 : DYNEGY 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$431,692,588
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$11,852,127
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$97,134,665
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$96,699,056
Value of total corrective distributions	2018-12-31	$102,003
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$36,113,587
Value of total assets at end of year	2018-12-31	$0
Value of total assets at beginning of year	2018-12-31	$516,975,126
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$333,606
Total interest from all sources	2018-12-31	$443,268
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$12,908,853
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$12,908,853
Administrative expenses professional fees incurred	2018-12-31	$333,606
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$25,343,144
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$9,657,258
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$8,077,935
Other income not declared elsewhere	2018-12-31	$-776,807
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-85,282,538
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$516,975,126
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$456,832,864
Interest on participant loans	2018-12-31	$443,268
Value of interest in common/collective trusts at end of year	2018-12-31	$0
Value of interest in common/collective trusts at beginning of year	2018-12-31	$41,906,740
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-37,685,366
Net investment gain or loss from common/collective trusts	2018-12-31	$848,592
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$10,770,443
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$500,329
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$96,699,056
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	MCCONNELL & JONES LLP
Accountancy firm EIN	2018-12-31	760488832
2017 : DYNEGY 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$8,346,131
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$147,516,174
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$45,507,466
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$45,118,489
Value of total corrective distributions	2017-12-31	$58,964
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$80,017,491
Value of total assets at end of year	2017-12-31	$516,975,126
Value of total assets at beginning of year	2017-12-31	$406,620,287
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$330,013
Total interest from all sources	2017-12-31	$398,317
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$11,247,464
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$11,247,464
Administrative expenses professional fees incurred	2017-12-31	$7,300
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$26,607,977
Participant contributions at end of year	2017-12-31	$9,657,258
Participant contributions at beginning of year	2017-12-31	$8,368,031
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$8,077,935
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$7,185,855
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$41,016,191
Other income not declared elsewhere	2017-12-31	$479,495
Administrative expenses (other) incurred	2017-12-31	$40,511
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$102,008,708
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$516,975,126
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$406,620,287
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$169,338
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$456,832,864
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$342,542,851
Interest on participant loans	2017-12-31	$398,317
Value of interest in common/collective trusts at end of year	2017-12-31	$41,906,740
Value of interest in common/collective trusts at beginning of year	2017-12-31	$47,666,602
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$54,542,502
Net investment gain or loss from common/collective trusts	2017-12-31	$830,905
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$12,393,323
Employer contributions (assets) at end of year	2017-12-31	$500,329
Employer contributions (assets) at beginning of year	2017-12-31	$856,948
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$45,118,489
Contract administrator fees	2017-12-31	$112,864
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	MCCONNELL & JONES LLP
Accountancy firm EIN	2017-12-31	760488832
2016 : DYNEGY 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$62,884,066
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$36,726,661
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$36,417,939
Value of total corrective distributions	2016-12-31	$45,930
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$37,301,525
Value of total assets at end of year	2016-12-31	$406,620,287
Value of total assets at beginning of year	2016-12-31	$380,462,882
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$262,792
Total interest from all sources	2016-12-31	$318,493
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$8,574,552
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$8,574,552
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$24,385,792
Participant contributions at end of year	2016-12-31	$8,368,031
Participant contributions at beginning of year	2016-12-31	$7,396,153
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$7,185,855
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$5,867,659
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,229,461
Other income not declared elsewhere	2016-12-31	$790,102
Administrative expenses (other) incurred	2016-12-31	$46,808
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$26,157,405
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$406,620,287
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$380,462,882
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$125,993
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$342,542,851
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$317,556,588
Interest on participant loans	2016-12-31	$318,493
Value of interest in common/collective trusts at end of year	2016-12-31	$47,666,602
Value of interest in common/collective trusts at beginning of year	2016-12-31	$47,160,721
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$15,754,872
Net investment gain or loss from common/collective trusts	2016-12-31	$144,522
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$11,686,272
Employer contributions (assets) at end of year	2016-12-31	$856,948
Employer contributions (assets) at beginning of year	2016-12-31	$2,481,761
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$36,417,939
Contract administrator fees	2016-12-31	$89,991
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	MCCONNELL & JONES LLP
Accountancy firm EIN	2016-12-31	760488832
2015 : DYNEGY 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$30,323,449
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
Total income from all sources (including contributions)	2015-12-31	$55,241,825
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$31,820,178
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$31,505,497
Value of total corrective distributions	2015-12-31	$16,778
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$57,609,205
Value of total assets at end of year	2015-12-31	$380,462,882
Value of total assets at beginning of year	2015-12-31	$326,717,786
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$297,903
Total interest from all sources	2015-12-31	$228,991
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$10,996,752
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$10,996,752
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
Contributions received from participants	2015-12-31	$19,095,010
Participant contributions at end of year	2015-12-31	$7,396,153
Participant contributions at beginning of year	2015-12-31	$4,882,396
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$5,867,659
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$4,832,948
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$27,548,546
Other income not declared elsewhere	2015-12-31	$-245,995
Administrative expenses (other) incurred	2015-12-31	$84,268
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	$23,421,647
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$380,462,882
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$326,717,786
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	$131,834
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$317,556,588
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$269,405,560
Interest on participant loans	2015-12-31	$228,991
Value of interest in common/collective trusts at end of year	2015-12-31	$47,160,721
Value of interest in common/collective trusts at beginning of year	2015-12-31	$47,596,882
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-13,616,381
Net investment gain or loss from common/collective trusts	2015-12-31	$269,253
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
Contributions received in cash from employer	2015-12-31	$10,965,649
Employer contributions (assets) at end of year	2015-12-31	$2,481,761
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	$31,505,497
Contract administrator fees	2015-12-31	$81,801
Did the plan have assets held for investment	2015-12-31	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	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	No
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 LLP
Accountancy firm EIN	2015-12-31	760488832
2014 : DYNEGY 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$19,273,979
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	$127,228
Total income from all sources (including contributions)	2014-12-31	$49,807,399
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$30,260,058
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$30,012,192
Value of total corrective distributions	2014-12-31	$11,381
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$31,342,261
Value of total assets at end of year	2014-12-31	$326,717,786
Value of total assets at beginning of year	2014-12-31	$288,023,694
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$236,485
Total interest from all sources	2014-12-31	$176,324
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$6,390,406
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$6,390,406
Administrative expenses professional fees incurred	2014-12-31	$2,600
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
Contributions received from participants	2014-12-31	$15,307,396
Participant contributions at end of year	2014-12-31	$4,882,396
Participant contributions at beginning of year	2014-12-31	$3,305,649
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$4,832,948
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$5,728,755
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$9,368,101
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$34,074
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$127,228
Other income not declared elsewhere	2014-12-31	$413,608
Administrative expenses (other) incurred	2014-12-31	$28,709
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	$19,547,341
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$326,717,786
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$287,896,466
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	$108,830
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$269,405,560
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$236,541,164
Interest on participant loans	2014-12-31	$176,324
Value of interest in common/collective trusts at end of year	2014-12-31	$47,596,882
Value of interest in common/collective trusts at beginning of year	2014-12-31	$42,413,309
Net investment gain or loss from common/collective trusts	2014-12-31	$1,071,780
Net gain/loss from 103.12 investment entities	2014-12-31	$10,413,020
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
Contributions received in cash from employer	2014-12-31	$6,666,764
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$743
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$30,012,192
Contract administrator fees	2014-12-31	$96,346
Did the plan have assets held for investment	2014-12-31	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	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 LLP
Accountancy firm EIN	2014-12-31	760488832
2013 : DYNEGY 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$12,663,676
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$127,228
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	$54,792,776
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$48,912,758
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$48,620,604
Value of total corrective distributions	2013-12-31	$11,257
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$14,677,358
Value of total assets at end of year	2013-12-31	$288,023,694
Value of total assets at beginning of year	2013-12-31	$269,352,772
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$280,897
Total interest from all sources	2013-12-31	$135,369
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$5,158,898
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$5,126,667
Administrative expenses professional fees incurred	2013-12-31	$280,897
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
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
Contributions received from participants	2013-12-31	$10,575,132
Participant contributions at end of year	2013-12-31	$3,305,649
Participant contributions at beginning of year	2013-12-31	$3,436,801
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$5,728,755
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$81
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$34,074
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$127,228
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$96,065
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	$5,880,018
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$287,896,466
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$269,352,772
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$236,541,164
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$134,511
Interest earned on other investments	2013-12-31	$858
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$265,778,330
Value of interest in common/collective trusts at end of year	2013-12-31	$42,413,309
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$35,010,609
Net investment gain or loss from common/collective trusts	2013-12-31	$-285,523
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	$4,102,226
Employer contributions (assets) at end of year	2013-12-31	$743
Employer contributions (assets) at beginning of year	2013-12-31	$137,641
Income. Dividends from common stock	2013-12-31	$32,231
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$48,620,523
Did the plan have assets held for investment	2013-12-31	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	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 LLP
Accountancy firm EIN	2013-12-31	760488832
2012 : DYNEGY 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$225,566,519
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	$8,526,958
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$31,773,161
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$31,482,339
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$10,821,767
Value of total assets at end of year	2012-12-31	$269,352,772
Value of total assets at beginning of year	2012-12-31	$67,032,456
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$290,822
Total interest from all sources	2012-12-31	$106,671
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
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
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
Contributions received from participants	2012-12-31	$7,750,449
Participant contributions at end of year	2012-12-31	$3,436,801
Participant contributions at beginning of year	2012-12-31	$315,789
Administrative expenses (other) incurred	2012-12-31	$9,878
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	$-23,246,203
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$269,352,772
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$67,032,456
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	$70,186
Interest on participant loans	2012-12-31	$106,671
Value of interest in master investment trust accounts at end of year	2012-12-31	$265,778,330
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$66,702,561
Net investment gain or loss from common/collective trusts	2012-12-31	$1,547,649
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	$3,071,318
Employer contributions (assets) at end of year	2012-12-31	$137,641
Employer contributions (assets) at beginning of year	2012-12-31	$14,106
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$31,482,339
Contract administrator fees	2012-12-31	$210,758
Did the plan have assets held for investment	2012-12-31	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	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 LLP
Accountancy firm EIN	2012-12-31	760488832
2011 : DYNEGY 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$285,314
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	$1,333,836
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$14,123,904
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$14,111,727
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,798,711
Value of total assets at end of year	2011-12-31	$67,032,456
Value of total assets at beginning of year	2011-12-31	$79,537,210
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$12,177
Total interest from all sources	2011-12-31	$15,520
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	$760
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	$1,434,917
Participant contributions at end of year	2011-12-31	$315,789
Participant contributions at beginning of year	2011-12-31	$359,143
Administrative expenses (other) incurred	2011-12-31	$322
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	$-12,790,068
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$67,032,456
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$79,537,210
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	$8,770
Interest on participant loans	2011-12-31	$15,520
Value of interest in master investment trust accounts at end of year	2011-12-31	$66,702,561
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$79,161,642
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	$363,794
Employer contributions (assets) at end of year	2011-12-31	$14,106
Employer contributions (assets) at beginning of year	2011-12-31	$16,425
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$14,111,727
Contract administrator fees	2011-12-31	$2,325
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 401(K) 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	$9,034,142
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$10,851,116
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$10,834,391
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,218,956
Value of total assets at end of year	2010-12-31	$79,537,210
Value of total assets at beginning of year	2010-12-31	$81,354,184
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$16,725
Total interest from all sources	2010-12-31	$16,745
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	$2,300
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	$1,789,171
Participant contributions at end of year	2010-12-31	$359,143
Participant contributions at beginning of year	2010-12-31	$341,112
Administrative expenses (other) incurred	2010-12-31	$987
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	$-1,816,974
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$79,537,210
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$81,354,184
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	$9,784
Interest on participant loans	2010-12-31	$16,745
Value of interest in master investment trust accounts at end of year	2010-12-31	$79,161,642
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$80,990,110
Net investment gain or loss from common/collective trusts	2010-12-31	$6,798,441
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	$429,785
Employer contributions (assets) at end of year	2010-12-31	$16,425
Employer contributions (assets) at beginning of year	2010-12-31	$22,962
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$10,834,391
Contract administrator fees	2010-12-31	$3,654
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 401(K) 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 401(K) PLAN

2018: DYNEGY 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: DYNEGY 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: DYNEGY 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: DYNEGY 401(K) 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	No
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	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: DYNEGY 401(K) 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	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: DYNEGY 401(K) 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	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: DYNEGY 401(K) 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	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: DYNEGY 401(K) 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
2009: DYNEGY 401(K) 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	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