SEC Form 4 · accession 0001221432-17-000001
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
Feb 18, 2017
Accepted (ET)
Feb 22, 2017 · 2:51 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 | Feb 18, 2017 | D | 8,213 | $8.25 | D | 0 | I | By Spouse |
| Class A Common StockF2 | Feb 18, 2017 | D | 786,198 | $8.25 | D | 647,581 | D | |
| Class A Common StockF1 | Feb 18, 2017 | D | 3,529,783 | $8.25 | D | 247,077 | I | By Calamos Investments LLC |
| Class A Common StockF3 | Feb 21, 2017 | D | 247,077 | $8.24 | D | 0 | I | By Calamos Investments LLC |
| Class A Common StockF2 | holding | — | — | — | 647,581 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Class A Common Stock disposed of via tender offer.
- F2Total represents 647,581 Restricted Stock Units; Class A Common Stock disposed of via tender offer.
- F3THE 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 OWNS A CONTROLLING INTEREST IN CALAMOS PARTNERS LLC WHICH IN TURN OWNS 100% OF CAM WHICH OWNS 100% 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.