SEC Form 4 · accession 0001221432-15-000102

· CLMS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

John P Calamos Sr.

Officer — Chairman, CEO & Global Co-CIO · Director · 10% Owner

Period of report

Dec 11, 2015

Accepted (ET)

Dec 15, 2015 · 11:56 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 Stock^F1	Dec 11, 2015	P	800	$8.81	A	3,440,170	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	200	$8.82	A	3,440,370	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,909	$8.83	A	3,442,279	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	2,150	$8.84	A	3,444,429	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,964	$8.85	A	3,446,393	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,618	$8.86	A	3,448,011	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	400	$8.87	A	3,448,411	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	800	$8.88	A	3,449,211	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,100	$8.89	A	3,450,311	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	700	$8.90	A	3,451,011	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	200	$8.91	A	3,451,211	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,211	$8.92	A	3,452,422	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,600	$8.93	A	3,454,022	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	100	$8.94	A	3,454,122	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	400	$8.95	A	3,454,522	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	700	$8.96	A	3,455,222	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	5	$8.97	A	3,455,227	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	500	$8.98	A	3,455,727	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	200	$8.99	A	3,455,927	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	600	$9.00	A	3,456,527	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	300	$9.01	A	3,456,827	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,400	$9.02	A	3,458,227	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	700	$9.03	A	3,458,927	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	1,700	$9.04	A	3,460,627	I	By Calamos Investments LLC
Class A Common Stock^F1	Dec 11, 2015	P	2,300	$9.05	A	3,462,927	I	By Calamos Investments LLC
Class A Common Stock^F2	holding	—	—		—	1,149,878	D
Class A Common Stock	holding	—	—		—	7,586	I	By Spouse

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1THE SHARE PURCHASES IN THIS FORM 4 ARE NOT DIRECTLY FOR THE INDIVIDUAL, PERSONAL ACCOUNTS OF JOHN P. CALAMOS, SR. THESE TRANSACTIONS REFLECT THE PURCHASE OF CALAMOS ASSET MANAGEMENT, INC. (CAM) SHARES BY CALAMOS INVESTMENTS LLC (CILLC) PRIMARILY TO MANAGE DILUTION RESULTING FROM AND POTENTIALLY TO FULFILL THE REQUIREMENTS OF CAM'S EQUITY COMPENSATION PLAN. JOHN P. CALAMOS, SR. OWNS A CONTROLLING INTEREST IN CALAMOS FAMILY PARTNERS, INC., WHICH IN TURN OWNS 77.8% OF CILLC. AS A RESULT, JOHN P. CALAMOS, SR. AND CALAMOS FAMILY PARTNERS, INC. ARE REQUIRED TO FILE THIS FORM 4 RELATING TO TRANSACTIONS OF THE CORPORATE REPURCHASE PROGRAM OCCURRING THROUGH CILLC.
F2Total represents 495,842.9940 shares of Class A Common Stock and 654,035 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).