SEC Form 4 · accession 0001221432-16-000145
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 4, 2016
Accepted (ET)
Mar 8, 2016 · 11:06 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 | Mar 4, 2016 | D | 100,045 | $8.51 | D | 3,753,710 | I | By Calamos Investments LLC |
| Class A Common StockF2 | Mar 7, 2016 | P | 130 | $8.41 | A | 3,753,840 | I | By Calamos Investments LLC |
| Class A Common StockF2 | Mar 7, 2016 | P | 500 | $8.46 | A | 3,754,340 | I | By Calamos Investments LLC |
| Class A Common StockF3 | holding | — | — | — | 1,383,797 | 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 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).