0001221432-15-000046.txt : 20150612
0001221432-15-000046.hdr.sgml : 20150612
20150612171243
ACCESSION NUMBER: 0001221432-15-000046
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150612
FILED AS OF DATE: 20150612
DATE AS OF CHANGE: 20150612
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 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: 15929315
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 Asset Management, Inc. /DE/
CENTRAL INDEX KEY: 0001299033
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51003
FILM NUMBER: 15929316
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
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2015-06-12
0
0001299033
Calamos Asset Management, Inc. /DE/
CLMS
0001299033
Calamos Asset Management, Inc. /DE/
2020 CALAMOS COURT
NAPERVILLE
IL
60563-1463
1
1
1
0
Chairman, CEO, Global Co-CIO
0001307316
Calamos Family Partners, Inc.
2020 CALAMOS COURT
NAPERVILLE
IL
60563
0
0
1
0
Class A Common Stock
2015-06-12
4
P
0
500
11.92
A
2839791
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
300
11.93
A
2840091
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
782
11.94
A
2840873
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
1600
11.95
A
2842473
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
507
11.96
A
2842980
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
200
11.97
A
2843180
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
4030
11.98
A
2847210
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
2818
11.99
A
2850028
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
3635
12
A
2853663
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
1100
12.01
A
2854763
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
818
12.02
A
2855581
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
100
12.03
A
2855681
I
By Calamos Investments LLC
Class A Common Stock
2015-06-12
4
P
0
1600
12.04
A
2857281
I
By Calamos Investments LLC
Class A Common Stock
1135175.083
D
Class A Common Stock
7372.987
I
By Spouse
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.
Total represents 481,140.0830 shares of Class A Common Stock and 654,035 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock).
/s/ J. Christopher Jackson, Attorney-in-Fact
2015-06-12
EX-99
2
exhibit99.txt
JOINT FILER INFO.
Exhibit 99
Joint Filer Information
Name: Calamos Family Partners, Inc.
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: 6/12/2015*
Signature: By: /s/ J. Christopher Jackson, Attorney-in-Fact
*The reporting person disclaims beneficial ownership of all
Securities directly-owned by the Designated Filer.