SEC Form 4 · accession 0001221432-16-000144
Calamos Asset Management, Inc. /DE/ · 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
Mar 3, 2016
Accepted (ET)
Mar 4, 2016 · 5:13 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 StockF1,F2 | Mar 3, 2016 | A | 233,919 | $0.00 | A | 1,383,797 | D | |
| Class A Common Stock | holding | — | — | — | 7,586 | I | By Spouse | |
| Class A Common Stock | holding | — | — | — | 3,853,755 | I | By Calamos Investments LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents Stock Units which will be settled solely in Class A Common Stock. The Restricted Stock Units vest in three installments, 25% on March 3, 2018, 25% on March 3, 2019 and 50% on March 3, 2020.
- F2Total represents 628,523.9940 shares of Class A Common Stock and 755,273 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).