0000916457-18-000135.txt : 20180312
0000916457-18-000135.hdr.sgml : 20180312
20180312171148
ACCESSION NUMBER: 0000916457-18-000135
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180308
FILED AS OF DATE: 20180312
DATE AS OF CHANGE: 20180312
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: 18684320
MAIL ADDRESS:
STREET 1: 717 TEXAS AVENUE, SUITE 1000
CITY: HOUSTON
STATE: TX
ZIP: 77002
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
4
1
wf-form4_152088909473702.xml
FORM 4
X0306
4
2018-03-08
1
0000916457
CALPINE CORP
CPN
0001442784
MILLER W. THADDEUS
CALPINE CORPORATION
717 TEXAS AVENUE, SUITE 1000
HOUSTON
TX
77002
0
1
0
0
EVP, CLO and Secretary
Common Stock, par value $0.001 per share
2018-03-08
4
D
0
97867
D
0
D
Common Stock, par value $0.001 per share
2018-03-08
4
D
0
157381
D
0
I
By December 2016 GRAT
Common Stock, par value $0.001 per share
2018-03-08
4
D
0
26967
D
0
I
By Trust
Common Stock, par value $0.001 per share
2018-03-08
4
D
0
40462
D
0
I
By Trust
Common Stock, par value $0.001 per share
2018-03-08
4
D
0
11676
D
0
I
By August 2016 GRAT
Common Stock, par value $0.001 per share
2018-03-08
4
D
0
40462
D
0
I
By Trust
Performance Stock Units
2018-03-08
4
D
0
47520
D
Common Stock, par value $0.001 per share
47520.0
0
D
Employee Stock Option (right to buy)
11.69
2018-03-08
4
D
0
146996
D
2017-12-31
2027-02-15
Common Stock, par value $0.001 per share
146996.0
0
D
Employee Stock Option (right to buy)
9.49
2018-03-08
4
D
0
100000
D
2012-05-17
2019-05-07
Common Stock, par value $0.001 per share
100000.0
0
D
On August 17, 2017, Calpine Corporation, a Delaware corporation the ("Company"), entered into an Agreement and Plan of Merger, dated August 17, 2017 (the "Merger Agreement") with Volt Parent, LP, a Delaware limited partnership ("Parent"), and Volt Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger"), with the Company surviving the Merger as a subsidiary of Parent on the terms and conditions set forth in the Merger Agreement. At the effective time of the Merger, these shares of common stock have been converted into the right to receive $15.25 in cash, without interest.
Pursuant to the Merger Agreement, these performance share units ("PSU") were cancelled in exchange for the right to receive a cash payment of $15.25 for each share of common stock underlying such PSU (assuming for this purpose that performance in respect of all such outstanding PSUs was achieved at a level that resulted in a payout of 150% of the target award).
Pursuant to the Merger Agreement, this derivative security was cancelled in exchange for a cash payment equal to the difference between the exercise price and $15.25.
W. Thaddeus Miller
2018-03-12