Calpine Corp (CPN): Billionaire Andreas Halvorsen’s Viking Global Significantly Increases Its Stake

Page 13 of 18 – SEC Filing

Schedule 13G PAGE 13 of 18

CUSIP No. 131347304

(g) [ ] Parent Holding Company, in accordance with Rule 13d-
1(b)(ii)(G)

(h) [ ] Savings Associations as defined in Section 3(b) of the
Federal Deposit Insurance Act

(i) [ ] Church Plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the
Investment Company Act of 1940

(j) [ ] A non-U.S. institution in accordance with
Rule 240.13d-1(b)(1)(ii)(J)

(k) [ ] Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with
Rule 240.13d-1(b)(1)(ii)(J), please specify
the type of institution:

ITEM 4. OWNERSHIP.

A. VGI
(a) Amount beneficially owned: 20,540,332
(b) Percent of class: 5.7%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
0
(ii) shared power to vote or to direct the vote
20,540,332
(iii) sole power to dispose or to direct the disposition
of 0
(iv) shared power to dispose or to direct the disposition
of 20,540,332

VGI provides managerial services to VGE, VGEII, VGEIII and VLFM.
VGI has the authority to dispose of and vote the shares
of Common Stock.

Based on Rule 13d-3 of the Securities Exchange Act of 1934,
as amended (the “Act”), VGI may be deemed to beneficially
own the shares of Common Stock directly held by VGE, VGEII,
VGEIII and VLFM. VGI does not directly own
any shares of Common Stock.