Filing Details
- Accession Number:
- 0001221432-16-000130
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-02-19 12:52:41
- Reporting Period:
- 2016-02-18
- Filing Date:
- 2016-02-19
- Accepted Time:
- 2016-02-19 12:52:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1299033 | Calamos Asset Management Inc. | CLMS | Security Brokers, Dealers & Flotation Companies (6211) | 320122554 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1248580 | Sr P John Calamos | 2020 Calamos Court Naperville IL 60563 | Chairman, Ceo & Global Co-Cio | Yes | Yes | Yes | No |
| 1307316 | Calamos Family Partners, Inc. | 2020 Calamos Court Naperville IL 60563 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2016-02-18 | 161,323 | $8.68 | 3,763,885 | No | 4 | D | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 273 | $8.63 | 3,764,158 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 274 | $8.64 | 3,764,432 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 21 | $8.65 | 3,764,453 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 200 | $8.66 | 3,764,653 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 1,776 | $8.67 | 3,766,429 | No | 4 | P | Indirect | By Calamso Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 100 | $8.68 | 3,766,529 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 3,412 | $8.69 | 3,769,941 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 2,890 | $8.70 | 3,772,831 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 2,147 | $8.71 | 3,774,978 | No | 4 | P | Indirect | By Calamso Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 3,723 | $8.72 | 3,778,701 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 3,695 | $8.73 | 3,782,396 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 5,600 | $8.74 | 3,787,996 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Class A Common Stock | Acquisiton | 2016-02-18 | 3,300 | $8.75 | 3,791,296 | No | 4 | P | Indirect | By Calamos Investments LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | D | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamso Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamso Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
| No | 4 | P | Indirect | By Calamos Investments LLC |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 1,149,877,994 | Direct | |
| Class A Common Stock | 7,586 | Indirect | By Spouse |
Footnotes
- THE 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.
- THE 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.
- Total represents 586,258.9940 shares of Class A Common Stock and 563,619 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).
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