0001221432-15-000066.txt : 20150728
0001221432-15-000066.hdr.sgml : 20150728
20150728171644
ACCESSION NUMBER: 0001221432-15-000066
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150728
FILED AS OF DATE: 20150728
DATE AS OF CHANGE: 20150728
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: 151010451
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: 151010452
MAIL ADDRESS:
STREET 1: 2020 CALAMOS COURT
CITY: NAPERVILLE
STATE: IL
ZIP: 60563
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2015-07-28
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
2015-07-28
4
P
0
105
11.68
A
3077268
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
300
11.7
A
3077568
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
400
11.71
A
3077968
I
By Calamos Investements LLC
Class A Common Stock
2015-07-28
4
P
0
449
11.72
A
3078417
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
100
11.74
A
3078517
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
1800
11.79
A
3080317
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
603
11.81
A
3080920
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
100
11.83
A
3081020
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
1100
11.84
A
3082120
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
103
11.85
A
3082223
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
113
11.88
A
3082336
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
100
11.89
A
3082436
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
548
11.9
A
3082984
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
2276
11.91
A
3085260
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
500
11.92
A
3085760
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
1461
11.93
A
3087221
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
1026
11.94
A
3088247
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
1999
11.95
A
3090246
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
400
11.97
A
3090646
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
100
11.98
A
3090746
I
By Calamos Investmens LLC
Class A Common Stock
2015-07-28
4
P
0
1700
11.99
A
3092446
I
By Calamos Investments LLC
Class A Common Stock
2015-07-28
4
P
0
900
12
A
3093346
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/ William J. Takahashi, Attorney-in-Fact
2015-07-28
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: 7/28/2015*
Signature: By: /s/ William J. Takahashi, Attorney-in-Fact
*The reporting person disclaims beneficial ownership of all
Securities directly-owned by the Designated Filer.