0001221432-16-000142.txt : 20160304 0001221432-16-000142.hdr.sgml : 20160304 20160304141616 ACCESSION NUMBER: 0001221432-16-000142 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160303 FILED AS OF DATE: 20160304 DATE AS OF CHANGE: 20160304 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: SCHAPPERT KEITH M CENTRAL INDEX KEY: 0001166815 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 161484714 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-03-03 0 0001299033 Calamos Asset Management, Inc. /DE/ CLMS 0001166815 SCHAPPERT KEITH M 2020 CALAMOS COURT NAPERVILLE IL 60563 1 0 0 0 Class A Common Stock 2016-03-03 4 A 0 5615 0 A 18019 D Represents Stock Units which will be settled solely in Class A Common Stock. The Restricted Stock Units vest in three installments, 25% on March 3, 2018, 25% on March 3, 2019 and 50% on March 3, 2020. Total represents 1,014 shares of Class A Common Stock and 17,005 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock). /s/ Gregory J. Nowak, Attorney-in-Fact 2016-03-04