Filing Details

Accession Number:
0001214659-17-000639
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-02 11:06:32
Reporting Period:
2017-01-31
Filing Date:
2017-02-02
Accepted Time:
2017-02-02 11:06:32
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
1486623 Mangrove Partners Fund, L.p. 645 Madison Avenue, 14Th Floor
New York NY 10022
No No No No
1535391 Capital Mangrove 645 Madison Avenue, 14Th Floor
New York NY 10022
No No No No
1535392 Partners Mangrove 645 Madison Avenue, 14Th Floor
New York NY 10022
No No No No
1535393 H. Nathaniel August 645 Madison Avenue, 14Th Floor
New York NY 10022
No No No No
1569227 Mangrove Partners Master Fund, Ltd. Po Box 309, Ugland House, S. Church St.
George Town E9 KY1-1104
No No No No
1569229 Mangrove Partners Fund (Cayman), Ltd. Maples Corp. Svcs, Po Box 309
Ugland House, S. Church Street
George Town E9 KY1-1104
No No No 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 2017-01-31 34,925 $8.39 2,417,015 No 4 P Direct
Class A Common Stock Acquisiton 2017-01-31 32,368 $8.39 2,449,383 No 4 P Direct
Class A Common Stock Acquisiton 2017-01-31 68,300 $8.40 2,517,683 No 4 P Direct
Class A Common Stock Acquisiton 2017-02-01 37,334 $8.42 2,555,017 No 4 P Direct
Class A Common Stock Acquisiton 2017-02-01 25,939 $8.42 2,580,956 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
Footnotes
  1. This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."
  2. The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.