0001140361-13-033421.txt : 20130816 0001140361-13-033421.hdr.sgml : 20130816 20130816190917 ACCESSION NUMBER: 0001140361-13-033421 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: MILLER W. THADDEUS CENTRAL INDEX KEY: 0001442784 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12079 FILM NUMBER: 131046581 MAIL ADDRESS: STREET 1: 717 TEXAS AVENUE, SUITE 1000 CITY: HOUSTON STATE: TX ZIP: 77002 4 1 doc1.xml FORM 4 X0306 4 2013-08-14 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 2013-08-14 4 M 0 399179 12.64 A 526459 D Common Stock, par value $0.001 per share 2013-08-14 4 F 0 320326 19.16 D 206133 D Common Stock, par value $0.001 per share 2013-08-15 4 M 0 6223 12.64 A 212356 D Common Stock, par value $0.001 per share 2013-08-15 4 F 0 5010 19.03 D 207346 D Common Stock, par value $0.001 per share 2013-08-16 4 M 0 11966 12.64 A 219312 D Common Stock, par value $0.001 per share 2013-08-16 4 F 0 9695 18.78 D 209617 D 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, par 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 17397 I By grantor retained annuity trust Common Stock, par value $0.001 per share 8484 I By grantor retained annuity trust Employee Stock Option (right to buy) 12.64 2013-08-14 4 M 0 399179 0 D 2013-08-11 2015-08-11 Common Stock, par value $0.001 per share 399179 160821 D Employee Stock Option (right to buy) 12.64 2013-08-15 4 M 0 6223 0 D 2013-08-11 2015-08-11 Common Stock, par value $0.001 per share 6223 154598 D Employee Stock Option (right to buy) 12.64 2013-08-16 4 M 0 11966 0 D 2013-08-11 2015-08-11 Common Stock, par value $0.001 per share 11966 142632 D Represents a "net exercise" of vested stock options. There was no open market sale of shares by the reporting person. A total of 320,326 shares were withheld by Issuer for payment of the exercise price and applicable taxes, and the net exercise resulted in 78,853 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 5,010 shares were withheld by Issuer for payment of the exercise price and applicable taxes, and the net exercise resulted in 1,213 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 9,695 shares were withheld by Issuer for payment of the exercise price and applicable taxes, and the net exercise resulted in 2,271 shares being issued by the Company to the reporting person. /s/ W. Thaddeus Miller 2013-08-16