SEC Form 4 · accession 0001140361-16-054680
CALPINE CORP · CPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W. Thaddeus Miller
Officer — EVP, Chief Legal Officer & Sec
Period of report
Feb 22, 2016
Accepted (ET)
Feb 24, 2016 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000916457
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1 | Feb 22, 2016 | A | 69,103 | $0.00 | A | 391,352 | D | |
| Common Stock, par value $0.001 per share | holding | — | — | — | 40,462 | I | As trustee for Son | |
| Common Stock, par value $0.001 per share | holding | — | — | — | 40,462 | I | As trustee for Son | |
| Common Stock, par value $0.001 per share | holding | — | — | — | 26,967 | I | As trustee for Son | |
| Common Stock, par value $0.001 per share | holding | — | — | — | 17,345 | I | By grantor retained annuity trust | |
| Common Stock, par value $0.001 per share | holding | — | — | — | 17,097 | I | By grantor retained annuity trust | |
| Common Stock, par value $0.001 per share | holding | — | — | — | 5,808 | I | By grantor retained annuity trust | |
| Common Stock, par value $0.001 per share | holding | — | — | — | 2,636 | I | By grantor retained annuity trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award of restricted stock pursuant to Calpine Corporation's (the "Company") Amended and Restated 2008 Equity Incentive Plan. The award vests in three equal installments on the first, second and third anniversary dates of the grant date; provided, however, that if the reporting person is employed by the Company through December 31, 2016, the award shall vest 100% as of such date.