Filing Details

Accession Number:
0001221432-15-000090
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-11-24 15:18:17
Reporting Period:
2015-11-23
Filing Date:
2015-11-24
Accepted Time:
2015-11-24 15:18:17
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 Acquisiton 2015-11-23 120 $9.37 7,586 No 4 P Indirect By Spouse
Class A Common Stock Acquisiton 2015-11-23 100 $9.30 3,415,292 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 300 $9.31 3,415,592 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 1,928 $9.32 3,417,520 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 666 $9.33 3,418,186 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 1,200 $9.34 3,419,386 No 4 P Indirect By Calamos Invesments LLC
Class A Common Stock Acquisiton 2015-11-23 300 $9.35 3,419,686 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 1,631 $9.36 3,421,317 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 1,793 $9.37 3,423,110 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 2,651 $9.38 3,425,761 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 2,000 $9.39 3,427,761 No 4 P Indirect By Calamos Investments LLC
Class A Common Stock Acquisiton 2015-11-23 700 $9.40 3,428,461 No 4 P Indirect By Calamos Investments LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Spouse
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 Calamos Invesments 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 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 1,142,075 Direct
Class A Common Stock 3,415,192 Indirect By Calamos Investments LLC
Class A Common Stock 1,142,075 Direct
Class A Common Stock 7,586 Indirect By Spouse
Footnotes
  1. Total represents 488,040.2590 shares of Class A Common Stock and 654,035 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).
  2. 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.