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Falcone Philip, et al. – ‘4’ for 12/16/09 re: Calpine Corp.

On:  Friday, 12/18/09, at 5:03pm ET   ·   For:  12/16/09   ·   As:  10% Owner and Other   ·   Accession #:  919574-9-16828   ·   File #:  1-12079

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/18/09  Falcone Philip                    4          %Own.,Oth.  1:15K  Calpine Corp.                     Seward & Kissel LLP/FA
          Harbinger Capital Partners Master Fund I, Ltd.
          Harbinger Capital Partners Special Situations Fund, L.P.
          Harbinger Capital Partners Special Situations GP, LLC
          Harbinger Holdings, LLC
          Harbinger Capital Partners LLC

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     14K 
                Securities by an Insider -- p1056826_ex.xml/3.3


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0303 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2009-12-16 </periodOfReport>
<notSubjectToSection16> 1 </notSubjectToSection16>
<issuer>
<issuerCik> 0000916457 </issuerCik>
<issuerName> CALPINE CORP </issuerName>
<issuerTradingSymbol> CPN </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001233563 </rptOwnerCik>
<rptOwnerName> HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD. </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O INTERNATIONAL FUND SERVICES LIMITED </rptOwnerStreet1>
<rptOwnerStreet2> THIRD FL, BISHOP'S SQUARE REDMOND'S HILL </rptOwnerStreet2>
<rptOwnerCity> DUBLIN 2 </rptOwnerCity>
<rptOwnerState> L2 </rptOwnerState>
<rptOwnerZipCode> 00000 </rptOwnerZipCode>
<rptOwnerStateDescription> IRELAND </rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 1 </isOther>
<otherText> *See Remarks </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001457298 </rptOwnerCik>
<rptOwnerName> HARBINGER CAPITAL PARTNERS LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 450 PARK AVENUE, 30TH FLOOR </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 1 </isOther>
<otherText> *See Remarks </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001371517 </rptOwnerCik>
<rptOwnerName> HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 450 PARK AVENUE, 30TH FLOOR </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 1 </isOther>
<otherText> *See Remarks </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001371518 </rptOwnerCik>
<rptOwnerName> HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS GP, LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 450 PARK AVENUE, 30TH FLOOR </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 1 </isOther>
<otherText> *See Remarks </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001456927 </rptOwnerCik>
<rptOwnerName> HARBINGER HOLDINGS, LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 450 PARK AVENUE, 30TH FLOOR </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 1 </isOther>
<otherText> *See Remarks </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001233569 </rptOwnerCik>
<rptOwnerName> FALCONE PHILIP </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 450 PARK AVENUE, 30TH FLOOR </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> NEW YORK </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10022 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 1 </isOther>
<otherText> *See Remarks </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2009-12-16 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> S </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 1755324 </value>
</transactionShares>
<transactionPricePerShare>
<value> 11.28 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 30029759 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
<footnoteId id="F1"/>
<footnoteId id="F2"/>
<footnoteId id="F3"/>
<footnoteId id="F4"/>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2009-12-16 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> S </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 144676 </value>
</transactionShares>
<transactionPricePerShare>
<value> 11.28 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 14115687 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
<footnoteId id="F1"/>
<footnoteId id="F5"/>
<footnoteId id="F6"/>
<footnoteId id="F7"/>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<footnotes>
<footnote id="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 REPORTING PERSONS ARE INCLUDED WITHIN THIS REPORT DUE TO THEIR AFFILIATION WITH ONE OR BOTH OF THE FUNDS. </footnote>
<footnote id="F2"> These securities are owned by Harbinger Capital Partners Master Fund I, Ltd. (the "Master Fund"), which is a Reporting Person. </footnote>
<footnote id="F3"> These securities may be deemed to be indirectly beneficially owned by the following, each of whom is a Reporting Person: 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. </footnote>
<footnote id="F4"> Each Reporting 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 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. </footnote>
<footnote id="F5"> These securities are owned by Harbinger Capital Partners Special Situations Fund, L.P. (the "Special Situations Fund"), which is a Reporting Person. </footnote>
<footnote id="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. </footnote>
<footnote id="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. </footnote>
</footnotes>
<remarks> (+) The Reporting Persons may be deemed to be members of a "group" for purposes of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the Reporting Person. This report shall not be deemed an admission that such Reporting Person is a member of a group or the beneficial owner of any securities not directly owned by such Reporting Person. </remarks>
<ownerSignature>
<signatureName> Harbinger Capital Partners Master Fund I, Ltd.(+), By: Harbinger Capital Partners LLC, By: Harbinger Holdings, LLC, Managing Member, By: /s/ Philip Falcone </signatureName>
<signatureDate> 2009-12-18 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Harbinger Capital Partners LLC(+), By: Harbinger Holdings, LLC, Managing Member, By: /s/ Philip Falcone </signatureName>
<signatureDate> 2009-12-18 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Harbinger Capital Partners Special Situations Fund, L.P.(+), By: Harbinger Capital Partners Special Situations GP, LLC, By: Harbinger Holdings, LLC, Managing Member, By: /s/ Philip Falcone </signatureName>
<signatureDate> 2009-12-18 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Harbinger Capital Partners Special Situations GP, LLC(+), By: Harbinger Holdings, LLC, Managing Member, By: /s/ Philip Falcone </signatureName>
<signatureDate> 2009-12-18 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> Harbinger Holdings, LLC(+), By: /s/ Philip Falcone </signatureName>
<signatureDate> 2009-12-18 </signatureDate>
</ownerSignature>
<ownerSignature>
<signatureName> /s/ Philip Falcone(+) </signatureName>
<signatureDate> 2009-12-18 </signatureDate>
</ownerSignature>
</ownershipDocument>


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