0001140361-11-058818.txt : 20111223 0001140361-11-058818.hdr.sgml : 20111223 20111223114417 ACCESSION NUMBER: 0001140361-11-058818 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111222 FILED AS OF DATE: 20111223 DATE AS OF CHANGE: 20111223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILLER W. THADDEUS CENTRAL INDEX KEY: 0001442784 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12079 FILM NUMBER: 111279514 MAIL ADDRESS: STREET 1: 717 TEXAS AVENUE, SUITE 1000 CITY: HOUSTON STATE: TX ZIP: 77002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CALPINE CORP CENTRAL INDEX KEY: 0000916457 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 770212977 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 717 TEXAS AVENUE STREET 2: SUITE 1000 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7138302000 MAIL ADDRESS: STREET 1: 717 TEXAS AVENUE STREET 2: SUITE 1000 CITY: HOUSTON STATE: TX ZIP: 77002 4 1 doc1.xml FORM 4 X0304 4 2011-12-22 0 0000916457 CALPINE CORP CPN 0001442784 MILLER W. THADDEUS CALPINE CORPORATION 717 TEXAS AVENUE, SUITE 1000 HOUSTON TX 77002 0 1 0 0 EVP, Chief Legal Officer & Sec Common Stock, par value $0.001 per share 2011-12-22 5 G 0 90310 0.00 D 0 I By grantor retained annuity trust Common Stock, par value $0.001 per share 33866 I As trustee for Son Common Stock, par value $0.001 per share 33866 I As trustee for Son Common Stock, par value $0.001 per share 22578 I As trustee for Son Common Stock, par value $0.001 per share 17168 I By grantor retained annuity trust Common Stock, par value $0.001 per share 30277 I By grantor retained annuity trust Common Stock, par value $0.001 per share 13328 I By grantor retained annuity trust Common Stock, par value $0.001 per share 149 D On March 4, 2009, the Reporting Person contributed 90,310 shares of Calpine Corporation's (the "Company") common stock to a grantor retained annuity trust (the "GRAT"). The Reporting Person was the sole recipient of the annuity payments made by the GRAT and served as the trustee of the GRAT. Upon termination of the GRAT pursuant to its terms and in accordance with the trust agreement, on December 22, 2011, 33,866 shares, 33,866 shares and 22,578 shares of the Company's common stock were automatically transferred to three separate trusts, of which the Reporting Person's children are respective beneficiaries and the Reporting Person and his spouse serve as trustees. Therefore, the reporting person may be deemed to be an indirect beneficial owner of the shares acquired by the three trusts and these shares continue to be reported on this Form 4 as indirectly owned. Previous Form 4's inadvertently reported these shares held through a grantor retained annuity trust as directly owned. On October 15, 2010, the Reporting Person contributed 17,168 shares of Company common stock to a grantor retained annuity trust. The Reporting Person is the sole recipient of the annuity payments made by this trust and serves as the trustee of this trust. On March 7, 2011, the Reporting Person contributed 30,277 shares of Company common stock to a grantor retained annuity trust. The Reporting Person is the sole recipient of the annuity payments made by this trust and serves as the trustee of this trust. On October 17, 2011, the Reporting Person contributed 13,328 shares of Company common stock to a grantor retained annuity trust. The Reporting Person is the sole recipient of the annuity payments made by this trust and serves as the trustee of this trust. /s/ W. Thaddeus Miller 2011-12-23