CALPINE CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-09-11: Reporting owner Hill Thad; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-09-11: Reporting owner MILLER W. THADDEUS; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-09-11: Reporting owner Fusco Jack A; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-08-16: Reporting owner Hill Thad; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-09-11 | Hill Thad Officer (President & Chief Oper.Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,923 222,308 owned after | $12.64 exercise price | 2013-09-13 | |
| 2013-09-11 | MILLER W. THADDEUS Officer (EVP, Chief Legal Officer & Sec) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,307 138,325 owned after | $12.64 exercise price | 2013-09-13 | |
| 2013-09-11 | Fusco Jack A Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,847 444,615 owned after | $12.64 exercise price | 2013-09-13 | |
| 2013-08-16 | Hill Thad Officer (President & Chief Oper.Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,231 229,231 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-16 | MILLER W. THADDEUS Officer (EVP, Chief Legal Officer & Sec) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,966 142,632 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-16 | Fusco Jack A Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,461 458,462 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-15 | Hill Thad Officer (President & Chief Oper.Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 248,462 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-15 | MILLER W. THADDEUS Officer (EVP, Chief Legal Officer & Sec) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,223 154,598 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-15 | Fusco Jack A Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 496,923 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-14 | Hill Thad Officer (President & Chief Oper.Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −641,538 258,462 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-14 | MILLER W. THADDEUS Officer (EVP, Chief Legal Officer & Sec) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −399,179 160,821 owned after | $12.64 exercise price | 2013-08-16 | |
| 2013-08-14 | Fusco Jack A Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,283,077 516,923 owned after | $12.64 exercise price | 2013-08-16 |