CALPINE CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-05: 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.
- 2014-09-05: 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.
- 2014-09-05: 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.
- 2014-05-16: Reporting owner PRUETT STEVEN D; Form 3; Security Option (Right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-05 | 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 | −345,000 0 owned after | $16.60 exercise price | 2014-09-05 | |
| 2014-09-05 | Hill Thad Director, 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 | −262,083 0 owned after | $18.00 exercise price | 2014-09-05 | |
| 2014-09-05 | Fusco Jack A Director, Officer (Executive Chairman) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,075,000 0 owned after | $15.99 exercise price | 2014-09-05 | |
| 2014-05-16 holding as of filing | PRUETT STEVEN D Officer (EVP, Commercial Ops) | 3 | Option (Right to buy) Derivative · Direct | Holding | $13.19 exercise price | 2014-05-16 | ||
| 2014-05-16 holding as of filing | PRUETT STEVEN D Officer (EVP, Commercial Ops) | 3 | Option (Right to buy) Derivative · Direct | Holding | $15.31 exercise price | 2014-05-16 | ||
| 2014-05-16 holding as of filing | ADAMS JOHN M Officer (EVP, Power Ops) | 3 | Option (Right to buy) Derivative · Direct | Holding | $11.74 exercise price | 2014-05-16 | ||
| 2014-05-16 holding as of filing | ADAMS JOHN M Officer (EVP, Power Ops) | 3 | Option (Right to buy) Derivative · Direct | Holding | $14.30 exercise price | 2014-05-16 | ||
| 2014-05-16 holding as of filing | ADAMS JOHN M Officer (EVP, Power Ops) | 3 | Option (Right to buy) Derivative · Direct | Holding | $15.31 exercise price | 2014-05-16 | ||
| 2014-01-29 | 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 | −7,692 210,000 owned after | $12.64 exercise price | 2014-01-29 | |
| 2014-01-29 | 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 | −4,786 130,667 owned after | $12.64 exercise price | 2014-01-29 | |
| 2014-01-29 | 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 | −15,385 420,000 owned after | $12.64 exercise price | 2014-01-29 | |
| 2014-01-27 | 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 | −4,616 217,692 owned after | $12.64 exercise price | 2014-01-29 | |
| 2014-01-27 | 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 | −2,872 135,453 owned after | $12.64 exercise price | 2014-01-29 | |
| 2014-01-27 | 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 | −9,230 435,385 owned after | $12.64 exercise price | 2014-01-29 |