0001221432-14-000057.txt : 20140624 0001221432-14-000057.hdr.sgml : 20140624 20140613171144 ACCESSION NUMBER: 0001221432-14-000057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140613 FILED AS OF DATE: 20140613 DATE AS OF CHANGE: 20140613 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: 14910854 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: 14910855 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-06-13 0 0001299033 Calamos Asset Management, Inc. /DE/ CLMS 0001248580 CALAMOS JOHN P SR 2020 CALAMOS COURT NAPERVILLE IL 60563 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 2014-06-13 4 P 0 404 13.19 A 3574813.487 D Class A Common Stock 2014-06-13 4 P 0 705 13.2 A 3575518.487 D Class A Common Stock 2014-06-13 4 P 0 1090 13.21 A 3576608.487 D Class A Common Stock 2014-06-13 4 P 0 303 13.22 A 3576911.487 D Class A Common Stock 2014-06-13 4 P 0 909 13.23 A 3577820.487 D Class A Common Stock 2014-06-13 4 P 0 300 13.24 A 3578120.487 D Class A Common Stock 2014-06-13 4 P 0 2789 13.25 A 358909.487 D Class A Common Stock 2014-06-13 4 P 0 2087 13.26 A 3582996.487 D Class A Common Stock 2014-06-13 4 P 0 500 13.27 A 3583496.487 D Class A Common Stock 2014-06-13 4 P 0 1000 13.28 A 3584496.487 D Class A Common Stock 2014-06-13 4 P 0 1600 13.29 A 3586096.487 D Class A Common Stock 2014-06-13 4 P 0 1600 13.31 A 3587696.487 D Class A Common Stock 2014-06-13 4 P 0 1000 13.32 A 3588696.487 D Class A Common Stock 2014-06-13 4 P 0 1100 13.33 A 3589796.487 D Class A Common Stock 2014-06-13 4 P 0 1611 13.34 A 3591407.487 D Class A Common Stock 2014-06-13 4 P 0 3923 13.35 A 3595330.487 D Class A Common Stock 2014-06-13 4 P 0 7421 13.36 A 3602751.487 D Class A Common Stock 2014-06-13 4 P 0 1405 13.37 A 3604156.487 D Class A Common Stock 2014-06-13 4 P 0 1500 13.38 A 3605656.487 D Class A Common Stock 2014-06-13 4 P 0 100 13.39 A 3605756.487 D Class A Common Stock 2014-06-13 4 P 0 2600 13.4 A 3608356.487 D Class A Common Stock 2014-06-13 4 P 0 200 13.41 A 3608556.487 D Class A Common Stock 2014-06-13 4 P 0 300 13.42 A 3608856.487 D Class A Common Stock 2014-06-13 4 P 0 300 13.43 A 3609156.487 D Class A Common Stock 7041.115 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 3,028,948.4870 shares of Class A Common Stock and 580,208 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock). /s/ William J. Takahashi, Attorney-in-Fact 2014-06-13 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: 6/13/2014* Signature: By: /s/ William J. Takahashi, Attorney-in-Fact *The reporting person disclaims beneficial ownership of all Securities directly-owned by the Designated Filer.