0001140361-13-019746.txt : 20130509 0001140361-13-019746.hdr.sgml : 20130509 20130509161034 ACCESSION NUMBER: 0001140361-13-019746 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130507 FILED AS OF DATE: 20130509 DATE AS OF CHANGE: 20130509 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: 13828763 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 X0306 4 2013-05-07 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 2013-05-07 5 G 0 4705 0.00 D 0 I By grantor retained annuity trust Common Stock, par value $0.001 per share 37327 I As trustee for Son Common Stock, par value $0.001 per share 37327 I As trustee for Son Common Stock, par value $0.001 per share 24875 I As trustee for Son Common Stock, pr value $0.001 per share 17610 I By grantor retained annuity trust Common Stock, par value $0.001 per share 7762 I By grantor retained annuity trust Common Stock, par value $0.001 per share 8484 I By grantor retained annuity trust Common Stock, par value $0.001 per share 17397 I By grantor retained annuity trust Common Stock, par value $0.001 per share 127280 D On May 7, 2013, 12,539 shares of Calpine Corporation ("Company") common stock were automatically transferred to the Reporting Person's direct ownership account in satisfaction of the annuity payment obligations pursuant to the terms of the March 2011 grantor retained annuity trust ("GRAT"), the GRAT terminated pursuant to its terms and 1,764, 1,764 and 1,177 shares of Company common stock were automatically transferred to three trusts as described in footnote (2). The Reporting Person was the sole recipient of the annuity payments made by the GRAT and served as the trustee of the GRAT. As described in footnote (3), the 12,539 shares were immediately transferred to fund the May 2013 GRAT. Includes shares of Company common stock automatically transferred to three trusts upon termination of the GRATs established by the Reporting Person in 2009, 2010 and 2011. The Reporting Person's children are respective beneficiaries of the trusts, and the Reporting Person and his spouse serve as trustees. The Reporting Person may be deemed to be an indirect beneficial owner of the shares acquired by each trust and these shares continue to be reported on this Form 4 as indirectly owned. On May 7, 2013, the Reporting Person contributed 17,610 shares of Company common stock to a GRAT. The Reporting Person is the sole recipient of the annuity payments made by this GRAT and serves as the trustee of this GRAT. The Reporting Person funded the GRAT on April 4, 2012, is the sole recipient of the annuity payments made by this GRAT and serves as the trustee of this GRAT. On May 7, 2013, 5,071 shares of Company common stock were automatically transferred to the Reporting Person's direct ownership account in satisfaction of the annuity payment obligation pursuant to the terms of the April 4, 2012 GRAT. Immediately upon such transfer, these shares were transferred to fund the May 2013 GRAT, as described in footnote (3). The Reporting Person funded this GRAT on October 18, 2011, is the sole recipient of the annuity payments made by this GRAT and serves as the trustee of this GRAT. The Reporting Person funded this GRAT on November 6, 2012, is the sole recipient of the annuity payments made by this GRAT and serves as the trustee of this GRAT. /s/ W. Thaddeus Miller 2013-05-09