SEC Form 4 · accession 0001316507-17-000003
CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND · CHI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
John P Calamos Sr.
Officer — President and Global CIO · Director
Calamos Advisors LLC
Other
Period of report
Jan 23, 2017
Accepted (ET)
Jan 25, 2017 · 5:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001171471
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 23, 2017 | S | 25,737 | $10.4732 | D | 0 | I | By Calamos Advisors LLC |
| Common Stock | holding | — | — | — | 22,916 | I | By John Calamos Sr. Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1THE SHARE DISPOSITIONS IN THIS FORM 4 ARE NOT DIRECTLY FOR THE INDIVIDUAL, PERSONAL ACCOUNTS OF JOHN P. CALAMOS, SR. THESE TRANSACTIONS REFLECT DISPOSITIONS MADE BY CALAMOS ADVISORS LLC (CAL), CALAMOS CONVERTIBLE OPPORTUNITIES AND INCOME FUND'S INVESTMENT ADVISOR. CAL IS A WHOLLY OWNED SUBSIDIARY OF CALAMOS INVESTMENTS LLC (CILLC). JOHN P. CALAMOS, SR. OWNS A CONTROLLING INTEREST IN CALAMOS FAMILY PARTNERS, INC., WHICH OWNS A CONTROLLING INTEREST IN CALAMOS PARTNERS LLC, WHICH IN TURN OWNS 77.8% OF CILLC, AND IS THE CHAIRMAN AND GLOBAL CIO OF CALAMOS ASSET MANAGEMENT, INC., WHICH OWNS 22.2% OF, AND IS THE SOLE MANAGER OF, CILLC. AS A RESULT, JOHN P. CALAMOS, SR. IS REQUIRED TO FILE THIS FORM 4 TO REFLECT INDIRECT BENEFICIAL OWNERSHIP OF SHARES OWNED BY CAL.