0001248580-19-000004.txt : 20190724 0001248580-19-000004.hdr.sgml : 20190724 20190724163300 ACCESSION NUMBER: 0001248580-19-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190722 FILED AS OF DATE: 20190724 DATE AS OF CHANGE: 20190724 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: 811-22949 FILM NUMBER: 19971276 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Calamos Advisors LLC CENTRAL INDEX KEY: 0001316507 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22949 FILM NUMBER: 19971277 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 BUSINESS PHONE: 6302451046 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Calamos Dynamic Convertible & Income Fund CENTRAL INDEX KEY: 0001602584 IRS NUMBER: 000000000 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 BUSINESS PHONE: 630-245-7200 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-07-22 0 0001602584 Calamos Dynamic Convertible & Income Fund CCD 0001248580 CALAMOS JOHN P SR 2020 CALAMOS COURT NAPERVILLE IL 60563 1 1 0 0 President and Chairman 0001316507 Calamos Advisors LLC 2020 CALAMOS COURT NAPERVILLE IL 60563 0 0 0 1 Investment Adviser Common Stock 2019-07-22 4 S 0 0.5513 20.9619 D 0.3966 I By Calamos Advisors LLC Common Stock 2019-07-24 4 S 0 0.3966 20.98 D 0 I By Calamos Advisors LLC Common Stock 1113376 I By Calamos Family Partners, Inc. THE FRACTIONAL SHARE DISPOSITIONS IN THIS FORM 4 ARE NOT DIRECTLY FOR THE INDIVIDUAL, PERSONAL ACCOUNT OF JOHN P. CALAMOS, SR. THESE TRANSACTIONS REFLECT DISPOSITIONS MADE BY CALAMOS ADVISORS LLC (CAL); CALAMOS DYNAMIC CONVERTIBLE AND INCOME FUND'S INVESTMENT ADVISOR. CAL IS A WHOLLY OWNED SUBSIDIARY OF CALAMOS INVESTMENTS LLC (CILLC). JOHN P. CALAMOS, SR. IS THE CHAIRMAN AND GLOBAL CIO OF CALAMOS ASSET MANAGEMENT, INC., WHICH OWNS APPROXIMATELY 22% OF, AND IS THE SOLE MANAGER OF, CILLC. THE REMAINING INTEREST OF CILLC IS OWNED BY CALAMOS PARTNERS LLC (CPL) AND JOHN P. CALAMOS, SR. CALAMOS FAMILY PARTNERS, INC. (CFP) OWNS A CONTROLLING INTEREST IN CPL, AND JOHN P. CALAMOS, SR. OWNS A CONTROLLING INTEREST IN CFP. AS A RESULT, JOHN P. CALAMOS, SR. IS REQUIRED TO FILE THIS FORM 4 TO REFLECT INDIRECT BENEFICIAL OWNERSHIP OF SHARES OWNED BY CAL. /s/ John P. Calamos, Sr. 2019-07-24 EX-99 2 exhibit99.txt JOINT FILER AGREEMENT Exhibit 99 Joint Filer Information Name: Calamos Advisors LLC Address: 2020 Calamos Court Naperville, Illinois 60563 Designated Filer: John P. Calamos, Sr. Issuer & Ticker Symbol: Calamos Dynamic Convertible and Income Fund (CCD) Relationship to Issuer: Investment Advisor Date of Event Requiring Statement: 7/22/2019 Signature: By: /s/ John P. Calamos, Sr.