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