CALPINE CORP Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 56 rows, 56 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-03-08: Reporting owner MILLER W. THADDEUS; Form 4; Security Performance Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-03-08: Reporting owner Hill Thad; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-03-08: Reporting owner Hill Thad; Form 4; Security Performance Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-03-08: Reporting owner Hill Thad; Form 4; Security Performance Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-03-08 | MILLER W. THADDEUS Officer (EVP, CLO and Secretary) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −47,520 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Hill Thad Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −79,089 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Hill Thad Director, Officer (President & CEO) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −94,554 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Hill Thad Director, Officer (President & CEO) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,706 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | RAUF ZAMIR Officer (EVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −29,204 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | RAUF ZAMIR Officer (EVP and CFO) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,914 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | GRIGGS, III, W. G. Officer (EVP and President, Retail) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −23,967 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | GRIGGS, III, W. G. Officer (EVP and President, Retail) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −28,653 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | GATES CHARLES M. Officer (EVP, Power Operations) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,512 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | GATES CHARLES M. Officer (EVP, Power Operations) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,718 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Koshkin Jeff Officer (SVP, Chief Accounting Officer) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,450 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Koshkin Jeff Officer (SVP, Chief Accounting Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,020 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Stephenson Caleb D. Officer (SVP of Wholesale Orig & Comm) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,348 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Stephenson Caleb D. Officer (SVP of Wholesale Orig & Comm) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,218 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Novotny Andrew R. Officer (SVP, Commercial Operations) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,459 0 owned after | no price filed | 2018-03-12 | |
| 2018-03-08 | Novotny Andrew R. Officer (SVP, Commercial Operations) | 4 | Performance Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,745 0 owned after | no price filed | 2018-03-12 | |
| 2018-02-15 | Hill Thad Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −39,544 79,089 owned after | $0.00 | 2018-02-20 | |
| 2018-02-15 | Novotny Andrew R. Officer (SVP, Commercial Operations) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,229 16,459 owned after | $0.00 | 2018-02-20 | |
| 2018-02-15 | Stephenson Caleb D. Officer (SVP of Wholesale Orig & Comm) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,674 17,348 owned after | $0.00 | 2018-02-20 | |
| 2018-02-15 | GATES CHARLES M. Officer (EVP, Power Operations) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,755 21,512 owned after | $0.00 | 2018-02-20 | |
| 2018-02-15 | RAUF ZAMIR Officer (EVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,601 29,204 owned after | $0.00 | 2018-02-20 | |
| 2018-02-15 | Koshkin Jeff Officer (SVP, Chief Accounting Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,010 14,020 owned after | $0.00 | 2018-02-20 | |
| 2018-02-15 | GRIGGS, III, W. G. Officer (EVP and President, Retail) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,983 23,967 owned after | $0.00 | 2018-02-20 | |
| 2017-12-31 | MILLER W. THADDEUS Officer (EVP, CLO and Secretary) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −59,622 0 owned after | $0.00 | 2018-01-03 | |
| 2017-05-16 | Hill Thad Director, Officer (President & CEO) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,706 6,706 owned after | $0.00 | 2017-05-18 | |
| 2017-02-15 | Hill Thad Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +118,633 118,633 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | MILLER W. THADDEUS Officer (EVP, CLO and Secretary) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +59,622 59,622 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | RAUF ZAMIR Officer (EVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,805 43,805 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | GATES CHARLES M. Officer (EVP, Power Operations) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,267 32,267 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | GRIGGS, III, W. G. Officer (EVP and President, Retail) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,950 35,950 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | Koshkin Jeff Officer (SVP, Chief Accounting Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,030 21,030 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | Stephenson Caleb D. Officer (SVP of Wholesale Orig & Comm) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,022 26,022 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | Novotny Andrew R. Officer (SVP, Commercial Operations) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,688 24,688 owned after | $0.00 | 2017-05-10 | |
| 2017-02-15 | Stephenson Caleb D. Officer (SVP of Wholesale Orig & Comm) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,218 9,218 owned after | $0.00 | 2017-02-17 | |
| 2017-02-15 | RAUF ZAMIR Officer (EVP, Chief Financial Officer) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,914 34,914 owned after | $0.00 | 2017-02-17 | |
| 2017-02-15 | Novotny Andrew R. Officer (SVP of Commercial Operations) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,745 8,745 owned after | $0.00 | 2017-02-17 | |
| 2017-02-15 | MILLER W. THADDEUS Officer (EVP, Chief Legal Officer & Sec) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,520 47,520 owned after | $0.00 | 2017-02-17 | |
| 2017-02-15 | Koshkin Jeff Officer (SVP, CHIEF ACCOUNTING OFFICER) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,450 7,450 owned after | $0.00 | 2017-02-17 | |
| 2017-02-15 | Hill Thad Director, Officer (President & CEO) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +94,554 94,554 owned after | $0.00 | 2017-02-17 | |
| 2017-02-15 | GRIGGS, III, W. G. Officer (EVP & President Calpine Retail) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,653 28,653 owned after | $0.00 | 2017-02-17 | |
| 2017-02-15 | GATES CHARLES M. Officer (EVP, Power Operations) | 4 | Performance Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,718 25,718 owned after | $0.00 | 2017-02-17 | |
| 2014-06-30 | MERRITT DAVID C Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,956 0 owned after | $0.00 | 2014-07-01 | |
| 2013-05-01 | MORELAND W BENJAMIN Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,956 0 owned after | $0.00 | 2013-05-03 | |
| 2011-06-01 | OLEARY DENISE M Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,956 0 owned after | $0.00 | 2011-06-03 | |
| 2011-05-08 | Hinckley Robert C Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,956 0 owned after | $0.00 | 2011-05-10 | |
| 2011-05-07 | CASSIDY FRANK Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,956 0 owned after | $0.00 | 2011-05-10 | |
| 2010-05-15 | MOSBACHER ROBERT A JR Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,956 0 owned after | $0.00 | 2010-05-18 | |
| 2009-05-07 | SPO ADVISORY PARTNERS LP | OBERNDORF WILLIAM E | PATTERSON WILLIAM J | MCDERMOTT EDWARD H | SCULLY JOHN H | SPO PARTNERS II LP | SPO ADVISORY CORP 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,224 16,944 owned after | $0.00 | 2009-06-26 | |
| 2009-05-07 | RYAN J. STUART Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,956 8,956 owned after | $0.00 | 2009-05-11 | |
| 2009-05-07 | SCULLY JOHN H | SPO ADVISORY PARTNERS LP | MCDERMOTT EDWARD H | OBERNDORF WILLIAM E | SPO ADVISORY CORP | PATTERSON WILLIAM J | SPO PARTNERS II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,214 16,934 owned after | $0.00 | 2009-05-11 | |
| 2009-05-07 | MORELAND W BENJAMIN Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,956 8,956 owned after | $0.00 | 2009-05-11 | |
| 2009-05-07 | MOSBACHER ROBERT A JR Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,956 8,956 owned after | $0.00 | 2009-05-11 | |
| 2009-05-07 | OLEARY DENISE M Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,956 8,956 owned after | $0.00 | 2009-05-11 | |
| 2009-05-07 | MERRITT DAVID C Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,956 8,956 owned after | $0.00 | 2009-05-11 | |
| 2009-05-07 | Hinckley Robert C Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,956 8,956 owned after | $0.00 | 2009-05-11 | |
| 2009-05-07 | CASSIDY FRANK Director | 4 | Restricted Stock Units (Right to Acquire) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,956 8,956 owned after | $0.00 | 2009-05-11 |