SEC Form 4 · accession 0001221432-16-000135

· CLMS

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

Reporting owners

John P Calamos Sr.

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

Calamos Family Partners, Inc.

10% Owner

Period of report

Feb 25, 2016

Accepted (ET)

Feb 25, 2016 · 5:47 pm 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	Feb 25, 2016	D	1,240	$8.54	D	3,850,561	I	By Calamos Investments LLC
Class A Common Stock^F2	Feb 25, 2016	P	103	$8.40	A	3,850,664	I	By Calamos Investments LLC
Class A Common Stock^F2	Feb 25, 2016	P	391	$8.41	A	3,851,055	I	By Calamos Investments LLC
Class A Common Stock^F2	Feb 25, 2016	P	100	$8.43	A	3,851,155	I	By Calamos Investments LLC
Class A Common Stock^F2	Feb 25, 2016	P	800	$8.45	A	3,851,955	I	By Calamos Investments LLC
Class A Common Stock^F2	Feb 25, 2016	P	900	$8.49	A	3,852,855	I	By Calamos Investments LLC
Class A Common Stock^F2	Feb 25, 2016	P	900	$8.50	A	3,853,755	I	By Calamos Investments LLC
Class A Common Stock^F3	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 DISPOSITIONS IN THIS FORM 4 ARE NOT DIRECTLY FOR THE INDIVIDUAL, PERSONAL ACCOUNTS OF JOHN P. CALAMOS, SR. THESE TRANSFERS REFLECT THE DISPOSITIONS OF CALAMOS ASSET MANAGEMENT, INC. (CAM) SHARES FROM CALAMOS INVESTMENTS LLC (CILLC) WITH THE INTENT TO HELP MANAGE DILUTION THAT WOULD OTHERWISE OCCUR AS A RESULT OF EQUITY AWARDS VESTING UNDER 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 THAT OCCURRED THROUGH CILLC.
F2THE 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.
F3Total represents 586,258.9940 shares of Class A Common Stock and 563,619 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).