SEC Form 4 · accession 0001299033-15-000002
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 11, 2015
Accepted (ET)
Feb 12, 2015 · 5:57 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 | Feb 11, 2015 | D | 75,991 | $13.20 | D | 3,630,514 | D | |
| Class A Common Stock | holding | — | — | — | 7,200 | 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.
- F2Total represents 3,080,562.468 shares of Class A Common Stock and 549,952 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).