0001316507-17-000001.txt : 20170125 0001316507-17-000001.hdr.sgml : 20170125 20170125171556 ACCESSION NUMBER: 0001316507-17-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20170123 FILED AS OF DATE: 20170125 DATE AS OF CHANGE: 20170125 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CALAMOS STRATEGIC TOTAL RETURN FUND CENTRAL INDEX KEY: 0001275214 IRS NUMBER: 043785941 FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 2020 CALAMOS COURT STREET 2: C/O CALAMOS ADVISORS LLC CITY: NAPERVILLE STATE: IL ZIP: 60653 BUSINESS PHONE: 6302451046 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT STREET 2: C/O CALAMOS ADVISORS LLC CITY: NAPERVILLE STATE: IL ZIP: 60653 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: 811-21484 FILM NUMBER: 17547029 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 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: 811-21484 FILM NUMBER: 17547030 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-01-23 0 0001275214 CALAMOS STRATEGIC TOTAL RETURN FUND CSQ 0001248580 CALAMOS JOHN P SR 2020 CALAMOS COURT NAPERVILLE IL 60563 1 1 0 0 President and Global CIO 0001316507 Calamos Advisors LLC 2020 CALAMOS COURT NAPERVILLE IL 60563 0 0 0 1 Investment Advisor Common Stock 2017-01-23 4 S 0 38862 10.6668 D 0 I By Calamos Advisors LLC Common Stock 220449.61 I By John Calamos Sr. Trust Common Stock 45800 I By J&L Capital LLC THE SHARE DISPOSITIONS IN THIS FORM 4 ARE NOT DIRECTLY FOR THE INDIVIDUAL, PERSONAL ACCOUNTS OF JOHN P. CALAMOS, SR. THESE TRANSACTIONS REFLECT DISPOSITIONS MADE BY CALAMOS ADVISORS LLC (CAL), CALAMOS STRATEGIC TOTAL RETURN FUND'S INVESTMENT ADVISOR. CAL IS A WHOLLY OWNED SUBSIDIARY OF CALAMOS INVESTMENTS LLC (CILLC). JOHN P. CALAMOS, SR. OWNS A CONTROLLING INTEREST IN CALAMOS FAMILY PARTNERS, INC., WHICH OWNS A CONTROLLING INTEREST IN CALAMOS PARTNERS LLC, WHICH IN TURN OWNS 77.8% OF CILLC, AND IS THE CHAIRMAN AND GLOBAL CIO OF CALAMOS ASSET MANAGEMENT, INC., WHICH OWNS 22.2% OF, AND IS THE SOLE MANAGER OF, CILLC. 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/ William J. Takahashi, Attorney-in-Fact 2017-01-25 EX-24 2 johncalamossrpoacsq.txt POWER OF ATTORNEY Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS Know all by these presents, that the undersigned hereby makes, constitutes and appoints William J. Takahashi and J. Christohper Jackson as the undersigned's true and lawful attorneys-in-fact, with full power and authority as hereinafter described on behalf of and in the name, place and stead of the undersigned to: (1) prepare, execute, acknowledge, deliver and file Forms 3, 4 and 5 (including any amendments thereto) with respect to the securities of Calamos Strategic Total Return Fund, a Delaware statutory trust (the Trust), with the United States Securities and Exchange Commission, any national securities exchanges and the Trust, as considered necessary or advisable under Section 16(a) of the Securities Exchange Act of 1934 and the rules and regulations promulgated thereunder, as amended from time to time (the Exchange Act); (2) seek or obtain, as the undersigneds representative and on the Undersigneds behalf, information on transactions in the Trusts securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such person to release any such information to the undersigned and approves and ratifies any such release of information; and (3) perform any and all other acts which in the discretion of such attorney-in-fact are necessary or desirable for and on behalf of the undersigned in connection with the forgoing. The undersigned acknowledges that: (1) this Power of Attorney authorizes, but does not require, such attorneys-in-fact to act in their discretion on information provided to such attorneys-in-fact without independent verification of such information; (2) any documents prepared and/or executed by such attorneys-in-fact on behalf of the undersigned pursuant to this Power of Attorney will be in such form and will contain such information and disclosure as such attorneys-in-fact, in his or her discretion, deems necessary or desirable; (3) neither the Trust nor such attorneys-in-fact assumes (i) any liability for the undersigneds responsibility to comply with the requirement of the Exchange Act, (ii) any liability of the undersigned for any failure to comply with such requirements, or (iii) any obligation or liability of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and (4) this Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigneds obligations under the Exchange Act, including without limitation the reporting requirements under Section 16 of the Exchange Act. The undersigned hereby gives and grants the foregoing attorneys-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary or appropriate to be done in and about the foregoing matters as fully to all intents and purposes as the undersigned might or could do if present, hereby ratifying all that such attorney-in-fact of, for and on behalf of the undersigned, shall lawfully do or cause to be done by virtue of this Limited Power of Attorney. This Power of Attorney shall remain in full force and effect until revoked by the undersigned in a signed writing delivered to such attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 25th day of January, 2017. /s/ John P. Calamos, Sr. John P. Calamos, Sr. EX-99 3 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 Convertible Opportunities and Income Fund (CHI) Relationship to Issuer: Investment Advisor Date of Event Requiring Statement: 1/23/2017 Signature: By: /s/ J. Christopher Jackson