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DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 401k Plan overview

Plan NameDYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT
Plan identification number 006

DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT Benefits

401k Plan TypeDefined 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 MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0062012-01-01JULIUS COX
0062011-01-01JULIUS COX
0062010-01-01JULIUS COX
0062009-01-01MICHAEL MARTIN JULIUS COX2010-07-22

Plan Statistics for DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT

401k plan membership statisitcs for DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT

Measure Date Value
2012: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2012 401k membership
Total participants, beginning-of-year2012-01-01945
Total number of active participants reported on line 7a of the Form 55002012-01-010
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-010
Number of participants with account balances2012-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2011 401k membership
Total participants, beginning-of-year2011-01-011,152
Total number of active participants reported on line 7a of the Form 55002011-01-01443
Number of retired or separated participants receiving benefits2011-01-0140
Number of other retired or separated participants entitled to future benefits2011-01-01445
Total of all active and inactive participants2011-01-01928
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0117
Total participants2011-01-01945
Number of participants with account balances2011-01-01921
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2010 401k membership
Total participants, beginning-of-year2010-01-011,244
Total number of active participants reported on line 7a of the Form 55002010-01-01485
Number of retired or separated participants receiving benefits2010-01-0144
Number of other retired or separated participants entitled to future benefits2010-01-01602
Total of all active and inactive participants2010-01-011,131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-0121
Total participants2010-01-011,152
Number of participants with account balances2010-01-011,124
2009: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2009 401k membership
Total participants, beginning-of-year2009-01-01955
Total number of active participants reported on line 7a of the Form 55002009-01-01472
Number of retired or separated participants receiving benefits2009-01-0117
Number of other retired or separated participants entitled to future benefits2009-01-01734
Total of all active and inactive participants2009-01-011,223
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-0121
Total participants2009-01-011,244
Number of participants with account balances2009-01-011,218
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT

Measure Date Value
2012 : DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-04-13$0
Total transfer of assets from this plan2012-04-13$74,163,494
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-04-13$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-04-13$0
Total income from all sources (including contributions)2012-04-13$4,529,398
Total loss/gain on sale of assets2012-04-13$0
Total of all expenses incurred2012-04-13$4,051,349
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-04-13$4,020,947
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-04-13$1,127,749
Value of total assets at end of year2012-04-13$0
Value of total assets at beginning of year2012-04-13$73,685,445
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-04-13$30,402
Total interest from all sources2012-04-13$15,431
Total dividends received (eg from common stock, registered investment company shares)2012-04-13$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-04-13Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2012-04-13$0
Was this plan covered by a fidelity bond2012-04-13Yes
Value of fidelity bond cover2012-04-13$15,000,000
If this is an individual account plan, was there a blackout period2012-04-13No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-04-13$0
Were there any nonexempt tranactions with any party-in-interest2012-04-13No
Contributions received from participants2012-04-13$895,469
Participant contributions at end of year2012-04-13$0
Participant contributions at beginning of year2012-04-13$1,420,546
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-04-13No
Value of net income/loss2012-04-13$478,049
Value of net assets at end of year (total assets less liabilities)2012-04-13$0
Value of net assets at beginning of year (total assets less liabilities)2012-04-13$73,685,445
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-04-13No
Were any loans by the plan or fixed income obligations due to the plan in default2012-04-13No
Were any leases to which the plan was party in default or uncollectible2012-04-13No
Interest on participant loans2012-04-13$15,431
Value of interest in master investment trust accounts at end of year2012-04-13$0
Value of interest in master investment trust accounts at beginning of year2012-04-13$72,254,644
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-04-13No
Was there a failure to transmit to the plan any participant contributions2012-04-13No
Has the plan failed to provide any benefit when due under the plan2012-04-13No
Contributions received in cash from employer2012-04-13$232,280
Employer contributions (assets) at end of year2012-04-13$0
Employer contributions (assets) at beginning of year2012-04-13$10,255
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-04-13$4,020,947
Contract administrator fees2012-04-13$30,402
Did the plan have assets held for investment2012-04-13No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-04-13No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-04-13Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-04-13No
Opinion of an independent qualified public accountant for this plan2012-04-13Unqualified
Accountancy firm name2012-04-13MCCONNELL & JONES LLP
Accountancy firm EIN2012-04-13760488832
2011 : DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets from this plan2011-12-31$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$3,257,009
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$8,466,099
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$8,415,430
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$4,198,492
Value of total assets at end of year2011-12-31$73,685,445
Value of total assets at beginning of year2011-12-31$79,179,849
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$50,669
Total interest from all sources2011-12-31$62,893
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 year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$4,510
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$15,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$3,315,904
Participant contributions at end of year2011-12-31$1,420,546
Participant contributions at beginning of year2011-12-31$1,634,948
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-5,209,090
Value of net assets at end of year (total assets less liabilities)2011-12-31$73,685,445
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$79,179,849
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$38,175
Interest on participant loans2011-12-31$62,893
Value of interest in master investment trust accounts at end of year2011-12-31$72,254,644
Value of interest in master investment trust accounts at beginning of year2011-12-31$77,533,579
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$882,588
Employer contributions (assets) at end of year2011-12-31$10,255
Employer contributions (assets) at beginning of year2011-12-31$11,322
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$8,415,430
Contract administrator fees2011-12-31$7,984
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31MCCONNELL & JONES LLP
Accountancy firm EIN2011-12-31760488832
2010 : DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$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$10,474,375
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$8,108,289
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$8,045,878
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$4,245,820
Value of total assets at end of year2010-12-31$79,179,849
Value of total assets at beginning of year2010-12-31$76,813,763
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$62,411
Total interest from all sources2010-12-31$78,415
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 year2010-12-31No
Administrative expenses professional fees incurred2010-12-31$6,550
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$15,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$3,364,496
Assets. Loans (other than to participants) at end of year2010-12-31$1,634,948
Assets. Loans (other than to participants) at beginning of year2010-12-31$1,525,666
Administrative expenses (other) incurred2010-12-31$7,479
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,366,086
Value of net assets at end of year (total assets less liabilities)2010-12-31$79,179,849
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$76,813,763
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$39,732
Interest on participant loans2010-12-31$78,415
Value of interest in master investment trust accounts at end of year2010-12-31$77,533,579
Value of interest in master investment trust accounts at beginning of year2010-12-31$75,279,140
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$881,324
Employer contributions (assets) at end of year2010-12-31$11,322
Employer contributions (assets) at beginning of year2010-12-31$8,957
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$8,045,878
Contract administrator fees2010-12-31$8,650
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31MCCONNELL & JONES LLP
Accountancy firm EIN2010-12-31760488832
2009 : DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT

2012: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingYes
2012-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2012-01-01Plan is a collectively bargained planYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: DYNEGY MIDWEST GENERATION, INC. 401K SAVINGS PLAN FOR EMPLOYEES COVERED UNDER A COLLECTIVE BARGAINING AGREEMENT 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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