0001221432-16-000169.txt : 20161122 0001221432-16-000169.hdr.sgml : 20161122 20161122165347 ACCESSION NUMBER: 0001221432-16-000169 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161121 FILED AS OF DATE: 20161122 DATE AS OF CHANGE: 20161122 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Calamos Asset Management, Inc. /DE/ CENTRAL INDEX KEY: 0001299033 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 320122554 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563-1463 BUSINESS PHONE: (630) 245-7200 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563-1463 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Calamos Partners LLC CENTRAL INDEX KEY: 0001690061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 162013797 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 BUSINESS PHONE: 630-577-9688 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Calamos Family Partners, Inc. CENTRAL INDEX KEY: 0001307316 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 162013798 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 BUSINESS PHONE: 630-577-9688 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CALAMOS JOHN P SR CENTRAL INDEX KEY: 0001248580 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 162013799 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-11-21 0 0001299033 Calamos Asset Management, Inc. /DE/ CLMS 0001248580 CALAMOS JOHN P SR 2020 CALAMOS COURT NAPERVILLE IL 60563 1 1 1 0 Founder, Chairman & Global CIO 0001307316 Calamos Family Partners, Inc. 2020 CALAMOS COURT NAPERVILLE IL 60563 0 0 1 0 0001690061 Calamos Partners LLC 2020 CALAMOS COURT NAPERVILLE IL 60563 0 0 1 0 Class A Common Stock 2016-11-21 4 P 0 174.345 6.9165 A 8213.402 I By Spouse Class A Common Stock 1419784.754 D Class A Common Stock 3776860 I By Calamos Investments LLC Class A Common Stock 2016-11-22 4 P 0 13994.631 7.1225 A 1433779.385 D Class A Common Stock 8213.402 I By Spouse Class A Common Stock 3776860 I By Calamos Investments LLC Total represents 664,511.7540 shares of Class A Common Stock and 755,273 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock). Total represents 678,506.3850 shares of Class A Common Stock and 755,273 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock). /s/ William J. Takahashi, Attorney-in-Fact 2016-11-22 EX-99 2 exhibit99.txt JOINT FILER INFO. Exhibit 99 Joint Filer Information Name: Calamos Family Partners, Inc. and Calamos Partners LLC Address: 2020 Calamos Court Naperville, Illinois 60563 Designated Filer: John P. Calamos Issuer & Ticker Symbol: Calamos Asset Management, Inc. (CLMS) Date of Event Requiring Statement: 11/21/2016* Signature: By: /s/ William J. Takahashi, Attorney-in-Fact. *The reporting person disclaims beneficial ownership of all Securities directly-owned by the Designated Filer.