SEC Form 4 · accession 0001214659-17-000467
Calamos Asset Management, Inc. /DE/ · CLMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mangrove Partners Fund, L.P.
10% Owner
MANGROVE CAPITAL
10% Owner
MANGROVE PARTNERS
10% Owner
Nathaniel H. August
10% Owner
Mangrove Partners Master Fund, Ltd.
10% Owner
Period of report
Jan 25, 2017
Accepted (ET)
Jan 27, 2017 · 9:25 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001299033
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Jan 25, 2017 | P | 3,000 | $8.3492 | A | 2,111,102 | D | |
| Class A Common StockF1,F2 | Jan 25, 2017 | P | 5,562 | $8.3498 | A | 2,116,664 | D | |
| Class A Common StockF1,F2 | Jan 26, 2017 | P | 13,118 | $8.3526 | A | 2,129,782 | D | |
| Class A Common StockF1,F2 | Jan 26, 2017 | P | 30,003 | $8.3536 | A | 2,159,785 | D | |
| Class A Common StockF1,F2 | Jan 26, 2017 | P | 25,000 | $8.35 | A | 2,184,785 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."
- F2The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.