-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PvY2U5kHGgcjFMTg9suIvcCzPnZ8psh4dqgiV8Q8fy03aT21RJRVxtINYOn3mxkK e3PO9s+PPK9xooGG6zOanA== 0001073307-09-000151.txt : 20090410 0001073307-09-000151.hdr.sgml : 20090410 20090410105446 ACCESSION NUMBER: 0001073307-09-000151 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090410 DATE AS OF CHANGE: 20090410 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALAMOS CONVERTIBLE & HIGH INCOME FUND CENTRAL INDEX KEY: 0001222719 IRS NUMBER: 020683363 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-84337 FILM NUMBER: 09744397 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT STREET 2: C/O CALAMOS ADVISORS LLC CITY: NAPERVILLE STATE: IL ZIP: 60563 BUSINESS PHONE: 6302451046 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT STREET 2: C/O CALAMOS ADVISORS LLC CITY: NAPERVILLE STATE: IL ZIP: 60563 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROYAL BANK OF CANADA \ CENTRAL INDEX KEY: 0001000275 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 000000000 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 1 STREET 2: ROYAL BANK PLAZA CITY: TORONTO STATE: A6 ZIP: 00000 BUSINESS PHONE: 4169745151 MAIL ADDRESS: STREET 1: P O BOX 6001 CITY: MONTREAL STATE: A8 ZIP: H3C 3A9 SC 13G 1 sch13g-calamos090228.htm SCHEDULE 13G

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE

COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

 

Calamos Convertible & High Income Fund

(Name of Issuer)

 

Auction Rate Preferred Stock

(Title of Class of Securities)

 

                         12811P702

                         12811P603

                         12811P207

                         12811P504

                         12811P306

                         12811P405

                        (CUSIP Number)

 

 

February 28, 2009

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

x

Rule 13d-1(b)

 

 

 

 

o

Rule 13d-1(c)

 

 

 

 

o

Rule 13d-1(d)

 

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


CUSIP No. 12811P702, 12811P603, 12811P207, 12811P504, 12811P306, 12811P405   

 

1.

Names of Reporting Persons

 

I.R.S. Identification Nos. of above persons (entities only).

 

 

 

Royal Bank of Canada

 

 

 

2.

Check the Appropriate Box if a Member of a group (See Instructions)

 

(a)  [  ]

 

(b)  [  ]

 

 

 

3.

SEC Use Only

 

 

 

 

 

4.

Citizenship or Place of Organization

 

 

 

Canada

 

 

 

Number of Shares Beneficially Owned By

Each

Reporting

Person With:

5.

Sole Voting Power

0

 

 

 

6.

Shared Voting Power

714

 

 

 

7.

Sole Dispositive Power

0

 

 

 

8.

Shared Dispositive Power

714

 

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person

714

 

 

10.

Check if Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

[ ]

 

 

11.

Percent of Class Represented by Amount in Row (9)

22.3%

 

 

12.

Type of Reporting Person (See Instructions)

HC

 

 

CUSIP No. 12811P702, 12811P603, 12811P207, 12811P504, 12811P306, 12811P405   

 

1.

Names of Reporting Persons

 

I.R.S. Identification Nos. of above persons (entities only).

 

 

 

RBC Capital Markets Corporation

 

 

 

2.

Check the Appropriate Box if a Member of a group (See Instructions)

 

(a)  [  ]

 

(b)  [  ]

 

 

 

3.

SEC Use Only

 

 

 

 

 

4.

Citizenship or Place of Organization

 

 

 

Minnesota

 

 

 

Number of Shares Beneficially Owned By

Each

Reporting

Person With:

5.

Sole Voting Power

0

 

 

 

6.

Shared Voting Power

714

 

 

 

7.

Sole Dispositive Power

0

 

 

 

8.

Shared Dispositive Power

714

 

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person

714

 

 

10.

Check if Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

[ ]

 

 

11.

Percent of Class Represented by Amount in Row (9)

22.3%

 

 

12.

Type of Reporting Person (See Instructions)

BD

 

 


 

 

Item 1.

 

(a)

Name of Issuer
Calamos Convertible & High Income Fund

 

 

(b)

Address of Issuer’s Principal Executive Offices
2020 Calamos Court

C/O Calamos Advisors LLC

Naperville, IL  60563

 

 

Item 2

 

(a)

Name of Person Filing

1.  Royal Bank of Canada

2.  RBC Capital Markes Corporation

 

 

(b)

Address of Principal Business Office or, if none, Residence

1.  200 Bay Street

     Toronto, Ontario  M5J 2J5

     Canada

2.  One Liberty Plaza

     165 Broadway

     New York, New York  10006

 

 

(c)

Citizenship

See Item 4 of the Cover Pages.

 

 

(d)

Title of Class of Securities
Auction Rate Preferred Stock

 

 

(e)

CUSIP Number
12811P702, 12811P603, 12811P207, 12811P504, 12811P306, 12811P405

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a)

x

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

 

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

 

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

 

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

 

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

 

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

 

 

(g)

x

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

 

 

(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act

(12 U.S.C. 1813);

 

 

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

 

 

(j)

o

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);

 

 

 

(k)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(K).

 

 

Item 4.

Ownership

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

The number of shares reported herein represents combined holdings as of February 28, 2009, in multiple series of auction rate preferred securities of the issuer, which are treated herein as one class of securities pursuant to the Securities and Exchange Commission's Auction Rate Securities Global Exemptive Relief no-action letter issued on September 22, 2008.  

(a)

Amount beneficially owned:   See Item 9 of the Cover Pages.

 

(b)

Percent of class:   See Item 11 of the Cover Pages.

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote
See Item 5 of the Cover Pages.

 

(ii)

Shared power to vote or to direct the vote
See Item 6 of the Cover Pages.

 

(iii)

Sole power to dispose or to direct the disposition of
See Item 7 of the Cover Pages.

 

(iv)

Shared power to dispose or to direct the disposition of
See Item 8 of the Cover Pages.

Instruction: For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

The amount of shares beneficially owned as of March 31, 2009, equaled 722 shares.

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following    [   ]

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

Not applicable.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company

 

RBC Capital Markets Corporation is an indirectly wholly owned subsidiary of Royal Bank of Canada.

Item 8.

Identification and Classification of Members of the Group

 

Not applicable.

Item 9.

Notice of Dissolution of Group

 

Not applicable.

Item 10.

Certification

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated:   April 7, 2009

ROYAL BANK OF CANADA

 

 

 

 

 

/s/ Bryan Osmar

 

 

 

Signature

 

 

 

 

 

 

 

Bryan Osmar/Senior Vice President

 

 

 

Name/Title

 

 

 

 

 

 

 

 
 /s/ Bruce Macdonald  
Signature

 

Bruce Macdonald/Executive Vice President
Name/Title

 

RBC CAPITAL MARKETS CORPORATION

 

*/s/John Penn
Signature

 

John Penn/Authorized Signatory
Name/Title

 

*This Schedule 13G was executed by John Penn pursuant to the power of attorney filed with the Securities and Exchange Commission on March 10, 2009 in connection with a Schedule 13G for BlackRock MuniHoldings Fund II, Inc., which power of attorney is incorporated herein by reference. 

 


 

Index to Exhibits

 

Exhibit                                                                                                              Exhibit

 

A.                                                                                                                      Joint Filing Agreement 

 

 

EXHIBIT A

 

JOINT FILING AGREEMENT

 

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, the persons or entities named below agree to the joint filing on behalf of each of them of this Schedule 13G with respect to the Securities of the Issuer and further agree that this joint filing agreement be included as an exhibit to this Schedule 13G. In evidence thereof, the undersigned hereby execute this Agreement as of April 7 2009.

 

 

 

 

 

ROYAL BANK OF CANADA

 

 

 

 

 

 

 

/s/ Bryan Osmar

 

 

 

Signature

 

 

 

 

 

 

 

Bryan Osmar/Senior Vice President

 

 

 

Name/Title

 

 

 

 
/s/ Bruce Macdonald
Signature

 

 

 

 
Bruce Macdonald/Executive Vice President 
Name/Title

 

 

 

 

 

RBC CAPITAL MARKETS CORPORATION

 

 

 

 

 

 

 

*/s/ John Penn

 

 

 

Signature

 

 

 

 

 

 

 

John Penn/Authorized Signatory

 

 

 

Name/Title

 

 

 

 


 

*This Schedule 13G was executed by John Penn pursuant to the power of attorney filed with the Securities and Exchange Commission on March 10, 2009 in connection with a Schedule 13G for BlackRock MuniHoldings Fund II, Inc., which power of attorney is incorporated herein by reference. 

 

 

 

 

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