FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/11/2008 |
3. Issuer Name and Ticker or Trading Symbol
CALPINE CORP [ CPN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 45,580,594(1)(2) | I | By LSP Cal Holdings I, LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. LSP Cal Holdings I, LLC ("LSP Cal I") is the record owner of 41,209,416 Shares and may receive 4,371,178 Shares via additional distributions from the Plan's disputed claim reserve or related escrow arrangements. LS Power Equity Partners, L.P. ("LSPEP") is the managing member of LSP Cal I. LS Power Equity Partners PIE I, L.P. ("PIE I") owns 100% of LSP Cal EB I, Ltd. ("LSP EB I"). LSPEP, PIE I and LSP EB I are together the members of LSP Cal I. LS Power Partners, L.P. ("Partners I") is the general partner of each of LSPEP and PIE I. Due to its relationship with LSPEP and PIE I, Partners I may be deemed to have a direct or indirect pecuniary interest in the Shares owned by LSP Cal I. Partners I, however, disclaims beneficial ownership of such Shares. |
2. Includes 4,371,178 Shares which LSP Cal I may receive via additional distributions from the Plan's disputed claim reserve or related escrow arrangements. Due to its relationship with LSPEP and PIE I, Partners I may be deemed to have a direct or indirect pecuniary interest in the Shares owned by LSP Cal I. Partners I, however, disclaims beneficial ownership of such Shares. |
BY: /s/ James Bartlett, President | 02/19/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |