SEC Form 4 · accession 0001221432-16-000169
Calamos Asset Management, Inc. /DE/ · CLMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
John P Calamos Sr.
Officer — Founder, Chairman & Global CIO · Director · 10% Owner
Calamos Family Partners, Inc.
10% Owner
Calamos Partners LLC
10% Owner
Period of report
Nov 21, 2016
Accepted (ET)
Nov 22, 2016 · 4:53 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 | Nov 21, 2016 | P | 174 | $6.9165 | A | 8,213 | I | By Spouse |
| Class A Common StockF2 | Nov 22, 2016 | P | 13,995 | $7.1225 | A | 1,433,779 | D | |
| Class A Common StockF1 | holding | — | — | — | 1,419,785 | D | ||
| Class A Common Stock | holding | — | — | — | 3,776,860 | I | By Calamos Investments LLC | |
| Class A Common Stock | holding | — | — | — | 8,213 | I | By Spouse | |
| Class A Common Stock | holding | — | — | — | 3,776,860 | I | By Calamos Investments LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Total represents 664,511.7540 shares of Class A Common Stock and 755,273 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).
- F2Total represents 678,506.3850 shares of Class A Common Stock and 755,273 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).