SEC Form 4 · accession 0001248580-15-000003
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
Feb 23, 2015
Accepted (ET)
Mar 2, 2015 · 5:17 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 | Feb 23, 2015 | P | 83 | $12.9848 | A | 7,283 | I | By Spouse |
| Class A Common StockF2 | Feb 24, 2015 | P | 4,248 | $13.567 | A | 3,553,313 | D | |
| Class A Common StockF3,F4 | Mar 2, 2015 | P | 100 | $12.49 | A | 3,553,413 | D | |
| Class A Common StockF3,F5 | Mar 2, 2015 | P | 7,186 | $12.50 | A | 3,560,599 | D | |
| Class A Common StockF1 | holding | — | — | — | 3,549,064 | D | ||
| Class A Common Stock | holding | — | — | — | 7,283 | I | By Spouse | |
| Class A Common Stock | holding | — | — | — | 7,283 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Total represents 3,028,109.468 shares of Class A Common Stock and 520,955 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).
- F2Total represents 3,032,357.778 shares of Class A Common Stock and 520,955 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).
- F3THE 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.
- F4Total represents 3,032,457.778 shares of Class A Common Stock and 520,955 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).
- F5Total represents 3,039,643.778 shares of Class A Common Stock and 520,955 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).