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.