Filing Details

Accession Number:
0001221432-15-000021
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-04-16 17:22:19
Reporting Period:
2015-04-16
Filing Date:
2015-04-16
Accepted Time:
2015-04-16 17:22:19
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 No 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 Acquisiton 2015-04-16 1,000 $12.50 3,771,988 No 4 P Indirect By Calamos Investments LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Calamos Investments LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 7,283 Indirect By Spouse
Footnotes
  1. 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.
  2. Total represents 3,090,389.7780 shares of Class A Common Stock and 681,598 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).