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.