0001221432-15-000020.txt : 20150415 0001221432-15-000020.hdr.sgml : 20150415 20150415172346 ACCESSION NUMBER: 0001221432-15-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150414 FILED AS OF DATE: 20150415 DATE AS OF CHANGE: 20150415 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: 15772620 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: 15772621 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-04-14 0 0001299033 Calamos Asset Management, Inc. /DE/ CLMS 0001248580 CALAMOS JOHN P SR 2020 CALAMOS COURT NAPERVILLE IL 60563 1 1 0 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 2015-04-14 4 D 0 21599 12.45 D 3763191.778 I By Calamos Investments LLC Class A Common Stock 7283.303 I By Spouse Class A Common Stock 2015-04-15 4 P 0 100 12.44 A 3763291.778 I By Calamos Investments LLC Class A Common Stock 2015-04-15 4 P 0 200 12.45 A 3763491.778 I By Calamos Investments LLC Class A Common Stock 2015-04-15 4 P 0 600 12.46 A 3764091.778 I By Calamos Investments LLC Class A Common Stock 2015-04-15 4 P 0 1771 12.47 A 3765862.778 I By Calamos Investments LLC Class A Common Stock 2015-04-15 4 P 0 100 12.475 A 3765962.778 I By Calamos Investments LLC Class A Common Stock 2015-04-15 4 P 0 749 12.48 A 3766711.778 I By Calamos Investments LLC Class A Common Stock 2015-04-15 4 P 0 1794 12.49 A 3768505.778 I By Calamos Investments LLC Class A Common Stock 2015-04-15 4 P 0 2482 12.5 A 3770987.778 I By Calamos Investments LLC Class A Common Stock 7283.303 I By Spouse THE SHARE DISPOSITIONS IN THIS FORM 4 ARE NOT DIRECTLY FOR THE INDIVIDUAL, PERSONAL ACCOUNTS OF JOHN P. CALAMOS, SR. THESE TRANSFERS REFLECT THE DISPOSITIONS OF CALAMOS ASSET MANAGEMENT, INC. (CAM) SHARES FROM CALAMOS INVESTMENTS LLC (CILLC) WITH THE INTENT TO HELP MANAGE DILUTION THAT WOULD OTHERWISE OCCUR AS A RESULT OF EQUITY AWARDS VESTING UNDER 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 THAT OCCURRED THROUGH CILLC. Total represents 3,081,593.7780 shares of Class A Common Stock and 681,598 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock). 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 3,089,389.7780 shares of Class A Common Stock and 681,598 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock). /s/ J. Christopher Jackson, Attorney-in-Fact 2015-04-15 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: 4/14/2015* Signature: By: /s/ J. Christopher Jackson, Attorney-in-Fact *The reporting person disclaims beneficial ownership of all Securities directly-owned by the Designated Filer.