-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, A63DFblAQFaOpDFaI/bxXwjykq9hSbmfMbQefSYkvwMdBll9Or6vdV1Zz4n0HcUh 7HSDwWx1q2qZUOvH8oEXxA== 0001047469-98-005517.txt : 19980217 0001047469-98-005517.hdr.sgml : 19980217 ACCESSION NUMBER: 0001047469-98-005517 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NONE GROUP MEMBERS: HARTFORD CAPITAL APPRECIATION FUND, INC. GROUP MEMBERS: HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY GROUP MEMBERS: HL INVESTMENT ADVISORS INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALPINE CORP CENTRAL INDEX KEY: 0000916457 STANDARD INDUSTRIAL CLASSIFICATION: COGENERATION SERVICES & SMALL POWER PRODUCERS [4991] IRS NUMBER: 770031605 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48317 FILM NUMBER: 98535233 BUSINESS ADDRESS: STREET 1: 50 WEST SAN FERNANDO ST CITY: SAN JOSE STATE: CA ZIP: 95113 BUSINESS PHONE: 4089955115 MAIL ADDRESS: STREET 1: 50 W SAN FERNANDO STREET 2: SUITE 500 CITY: SAN JOSE STATE: CA ZIP: 95113 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HL INVESTMENT ADVISORS INC CENTRAL INDEX KEY: 0000700635 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 061051282 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 200 HOPMEADOW ST CITY: SIMSBURY STATE: CT ZIP: 06070 BUSINESS PHONE: 8605472883 MAIL ADDRESS: STREET 1: P O BOX 2999 CITY: HARTFORD STATE: CT ZIP: 06104-2999 FORMER COMPANY: FORMER CONFORMED NAME: HARTFORD INVESTMENT MANAGEMENT CO /ADV DATE OF NAME CHANGE: 19970103 FORMER COMPANY: FORMER CONFORMED NAME: HARTFORD INVESTMENT MANAGEMENT CO /ADV DATE OF NAME CHANGE: 19970103 SC 13G/A 1 SCHEDULE 13G AMENDMENT SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------------------------------------------- SCHEDULE 13G Information Statement pursuant to Rule 13d-1 and 13d-2 (AMENDMENT NO. 1 )* Calpine Corporation ---------------------------------------------------- (NAME OF ISSUER) Common Stock ---------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 131347106 ---------------------------------------------------- (CUSIP NUMBER) ---------------------------------------------------- * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (CONTINUED ON FOLLOWING PAGE(S)) CUSIP NO. Page 2 of 7 Pages 131347106 - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON 06-1051282 S.S. OR I.R.S. IDENTIFICATION NO. HL Investment Advisors, Inc. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Connecticut - ------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED AS OF ------------------------------------------ DECEMBER 31, 1996 6 SHARED VOTING POWER BY EACH REPORTING 1,735,000 PERSON WITH ------------------------------------------ 7 SOLE DISPOSITIVE POWER ------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,735,000 ------------------------------------------ - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,735,000 (Not to be construed as an admission of beneficial ownership) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /----/ /----/ - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.7% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - ------------------------------------------------------------------------------- CUSIP NO. Page 3 of 7 Pages 131347106 - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. Hartford Investment Financial Services Company 06-1472211 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY ------------------------------------------ OWNED AS OF 6 SHARED VOTING POWER DECEMBER 31, 1996 151,000 BY EACH REPORTING ------------------------------------------ PERSON WITH 7 SOLE DISPOSITIVE POWER ------------------------------------------ 8 SHARED DISPOSITIVE POWER 151,000 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 151,000 (Not to be construed as an admission of beneficial ownership) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /----/ /----/ - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.8% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - ------------------------------------------------------------------------------- CUSIP NO. Page 4 of 7 Pages 131347106 - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. Hartford Capital Appreciation Fund, Inc. 22-2481744 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Maryland - ------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY ------------------------------------------ OWNED AS OF 6 SHARED VOTING POWER DECEMBER 31, 1996 1,625,000 BY EACH REPORTING ------------------------------------------ PERSON WITH 7 SOLE DISPOSITIVE POWER ------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,625,000 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,625,000 (Not to be construed as an admission of beneficial ownership) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /----/ /----/ - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.1% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IV - ------------------------------------------------------------------------------- CUSIP NO. Page 5 of 7 Pages 131347106 Item 1(a) Name of Issuer: Calpine Corporation Item 1(b) Address of Issuer's Principal Executive Offices: 50 West San Fernando Street San Jose, CA 95113 Item 2(a) Name of Person Filing: HL Investment Advisors, Inc. Hartford Investment Financial Services Company Hartford Capital Appreciation Fund, Inc. Item 2(b) Address of Principal Business Office: 200 Hopmeadow Street Simsbury, CT 06070 Item 2(c) Citizenship: HL Investment Advisors, Inc. - Connecticut Hartford Investment Financial Services Company - Delaware Hartford Capital Appreciation Fund, Inc. - Maryland Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 131347106 Item 3. Type of Reporting Person: HL Investment Advisors, Inc., as a registered investment adviser. Hartford Investment Financial Services Company, as a registered investment adviser. Hartford Capital Appreciation Fund, Inc., as a registered investment management company. Item 4. Ownership as of December 31, 1997: (a) Amount Beneficially Owned: 1,886,000 shares of common stock beneficially owned including: Number of Shares ---------------- HL Investment Advisors, Inc. 1,735,000 Hartford Investment Financial Services Company 151,000 Hartford Capital Appreciation Fund, Inc. 1,625,000 The Hartford Capital Appreciation Fund 135,000 Hartford Small Company Fund, Inc. 110,000 The Hartford Small Company Fund 16,000 CUSIP NO. Page 6 of 7 Pages 131347106 (b) Percent of Class: 9.4% (c) For information on voting and dispositive power with respect to the above listed shares, see items 5-8 of cover pages. Item 5. Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ( ) Item 6. Ownership of More than Five Percent on behalf of Another Person: N/A Item 7. Identification and Classification of the Subsidiary which Acquired the Security being Reported on by the Parent Holding Company: N/A Item 8. Identification and Classification of Members of the Group: N/A Item 9. Notice of Dissolution of Group: N/A Item 10. Certification: By signing below I certify that to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. CUSIP NO. Page 7 of 7 Pages 131347106 Signature --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 1998 HL Investment Advisors, Inc. ----------------- BY: /s/ Joseph H. Gareau ------------------------------------- Joseph H. Gareau President Hartford Investment Financial Services Company BY: /s/ Joseph H. Gareau ------------------------------------- Joseph H. Gareau Executive Vice President - Investments Hartford Capital Appreciation Fund, Inc. BY: /s/ Joseph H. Gareau ------------------------------------- Joseph H. Gareau President *Pursuant to the Joint Filing Agreement with respect to Schedule 13G attached hereto as Exhibit I, between HL Investment Advisors, Inc., Hartford Investment Financial Services Company and Hartford Capital Appreciation Fund, Inc.,this Schedule 13G is filed on behalf of each of them. EXHIBIT I JOINT FILING AGREEMENT Each of the undersigned hereby agrees that the Schedule 13G filed herewith is filed jointly, pursuant to Rule 13d-1(f)(1) of the Securities Exchange Act of 1934, as amended, on behalf of each of them. Dated: February 12, 1998 ----------------- HL Investment Advisors, Inc. BY: /s/ Joseph H. Gareau ------------------------------ Joseph H. Gareau President Hartford Investment Financial Services Company BY: /s/ Joseph H. Gareau ------------------------------ Joseph H. Gareau Executive Vice President - Investments Hartford Capital Appreciation Fund, Inc. BY: /s/ Joseph H. Gareau ------------------------------ Joseph H. Gareau President -----END PRIVACY-ENHANCED MESSAGE-----