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