0001140361-13-033420.txt : 20130816 0001140361-13-033420.hdr.sgml : 20130816 20130816190743 ACCESSION NUMBER: 0001140361-13-033420 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130814 FILED AS OF DATE: 20130816 DATE AS OF CHANGE: 20130816 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fusco Jack A CENTRAL INDEX KEY: 0001425785 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12079 FILM NUMBER: 131046577 MAIL ADDRESS: STREET 1: C/O FOSTER WHEELER LTD. STREET 2: PERRYVILLE CORPORATE PARK CITY: CLINTON STATE: NJ ZIP: 08809 4 1 doc1.xml FORM 4 X0306 4 2013-08-14 0 0000916457 CALPINE CORP CPN 0001425785 Fusco Jack A CALPINE CORPORATION 717 TEXAS AVENUE, SUITE. 1000 HOUSTON TX 77002 1 1 0 0 Chief Executive Officer Common Stock, par value $0.001 per share 2013-08-14 4 M 0 1283077 12.64 A 1695341 D Common Stock, par value $0.001 per share 2013-08-14 4 F 0 1029619 19.16 D 665722 D Common Stock, par value $0.001 per share 2013-08-15 4 M 0 20000 12.64 A 685722 D Common Stock, par value $0.001 per share 2013-08-15 4 F 0 16102 19.03 D 669620 D Common Stock, par value $0.001 per share 2013-08-16 4 M 0 38461 12.64 A 708081 D Common Stock, par value $0.001 per share 2013-08-16 4 F 0 31162 18.78 D 676919 D Common Stock, par value $0.001 per share 500000 I Fusco Energy Investment LLP Employee Stock Option (right to buy) 12.64 2013-08-14 4 M 0 1283077 0 D 2013-08-10 2015-08-10 Common Stock, par value $0.001 per share 1283077 516923 D Employee Stock Option (right to buy) 12.64 2013-08-15 4 M 0 20000 0 D 2013-08-10 2015-08-10 Common Stock, par value $0.001 per share 20000 496923 D Employee Stock Option (right to buy) 12.64 2013-08-16 4 M 0 38461 0 D 2013-08-10 2015-08-10 Common Stock, par value $0.001 per share 38461 458462 D Represents a "net exercise" of vested stock options. There was no open market sale of shares by the reporting person. A total of 1,029,619 shares were withheld by Issuer for payment of the exercise price and applicable taxes, and the net exercise resulted in 253,458 shares being issued by the Company to the reporting person. Closing market price of Calpine Corporation common stock on the respective transaction date. Represents a "net exercise" of vested stock options. There was no open market sale of shares by the reporting person. A total of 16,102 shares were withheld by Issuer for payment of the exercise price and applicable taxes, and the net exercise resulted in 3,898 shares being issued by the Company to the reporting person. Represents a "net exercise" of vested stock options. There was no open market sale of shares by the reporting person. A total of 31,162 shares were withheld by Issuer for payment of the exercise price and applicable taxes, and the net exercise resulted in 7,299 shares being issued by the Company to the reporting person. /s/ W. Thaddeus Miller by Power of Attorney 2013-08-16