4//SEC Filing
FALCONE PHILIP 4
Accession 0000919574-09-015350
CIK 0000916457other
Filed
Sep 17, 8:00 PM ET
Accepted
Sep 18, 5:03 PM ET
Size
14.3 KB
Accession
0000919574-09-015350
Insider Transaction Report
Form 4
CALPINE CORPCPN
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P.
10% OwnerOther
Transactions
- Sale
Common Stock
2009-09-16$12.66/sh−965,800$12,227,028→ 31,863,577 total
Holdings
- 55,116,470(indirect: Footnote)
Common Stock
Footnotes (9)
- [F1]IMPORTANT NOTE: THE SECURITIES SET FORTH IN THIS REPORT ARE DIRECTLY BENEFICIALLY OWNED BY HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD. AND/OR HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. (COLLECTIVELY, THE "FUNDS"). ALL OTHER ENTITIES AND PERSONS ARE INCLUDED WITHIN THIS REPORT DUE TO THEIR AFFILIATION WITH ONE OR BOTH OF THE FUNDS.
- [F2]These securities are owned by Harbinger Capital Partners Master Fund I, Ltd. (the "Master Fund").
- [F3]These securities may be deemed to be indirectly beneficially owned by the following entities or persons: Harbinger Capital Partners LLC ("Harbinger LLC"), the investment manager of the Master Fund; Harbinger Holdings, LLC ("Harbinger Holdings"), the managing member of Harbinger LLC; and Philip Falcone, the managing member of Harbinger Holdings and the portfolio manager of the Master Fund.
- [F4]Each entity and person listed in Footnote 3 disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such entity or person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [F5]These securities are owned by Harbinger Capital Partners Special Situations Fund, L.P. (the "Special Situations Fund"), which is a Reporting Person.
- [F6]These securities may be deemed to be indirectly beneficially owned by the following, each of whom is a Reporting Person: Harbinger Capital Partners Special Situations GP, LLC ("HCPSS"), the general partner of the Special Situations Fund; Harbinger Holdings, the managing member of HCPSS; and Philip Falcone, the managing member of Harbinger Holdings and the portfolio manager of the Special Situations Fund.
- [F7]Each Reporting Person listed in Footnote 6 disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [F8]Includes 6,189,645 Shares held by Kelson Investments, S.ar.l., an indirect wholly owned subsidiary of the Master Fund and the Special Situations Fund.
- [F9]Includes 3,092,603 Shares held by Kelson Investments, S.ar.l., an indirect wholly owned subsidiary of the Master Fund and the Special Situations Fund.
Documents
Issuer
CALPINE CORP
CIK 0000916457
Entity typeother
Related Parties
1- filerCIK 0001233569
Filing Metadata
- Form type
- 4
- Filed
- Sep 17, 8:00 PM ET
- Accepted
- Sep 18, 5:03 PM ET
- Size
- 14.3 KB