0001140361-17-008193.txt : 20170217 0001140361-17-008193.hdr.sgml : 20170217 20170217191809 ACCESSION NUMBER: 0001140361-17-008193 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170215 FILED AS OF DATE: 20170217 DATE AS OF CHANGE: 20170217 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: Novotny Andrew R. CENTRAL INDEX KEY: 0001697866 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12079 FILM NUMBER: 17622977 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 2017-02-15 0 0000916457 CALPINE CORP CPN 0001697866 Novotny Andrew R. 717 TEXAS AVENUE SUITE 1000 HOUSTON TX 77002 0 1 0 0 SVP of Commercial Operations Employee Stock Option (right to buy) 11.69 2017-02-15 4 A 0 27052 0 A 2020-02-15 2027-02-15 Common Stock 27052 27052 D Performance Stock Units 0 2017-02-15 4 A 0 8745 0 A Common Stock 8745 8745 D Granted pursuant to Calpine Corporation's (the "Company") Amended and Restated 2008 Equity Plan. The option vests 100% on February 15, 2020. The number of performance share units ("PSUs") reported represents the "target" number of PSUs that may be earned. Each PSU represents a contingent right to receive 0-150% of the target award. PSUs will vest and be paid in cash (in an amount equal to the product of the number of earned PSUs multiplied by the fair market value of one share of common stock of the Company as of the last trading day of the performance cycle) upon achievement of the specified thresholds of the Company's total shareholder return over the three-year performance period of January 1, 2017 through December 31, 2019, following the Compensation Committee's certification of performance as soon as practicable following completion of the performance period. /s/ W. Thaddeus Miller by Power of Attorney 2017-02-17