CALAMOS CONVERTIBLE OPPORTUNITIES AND INCOME FUND
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(Name of Issuer)
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Series D Mandatory Redeemable Preferred Shares
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(Title of Class of Securities)
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1281173*7
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(CUSIP Number)
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August 31, 2021
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(Date of Event which Requires Filing of this Statement)
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☑ |
Rule 13d-1(b)
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☐ |
Rule 13d-1(c)
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☐ |
Rule 13d-1(d)
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CUSIP No. 1281173*7
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Page 2 of 5 Pages
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1
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NAMES OF REPORTING PERSONS
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MetLife Investment Management, LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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440,000
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6
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SHARED VOTING POWER
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0
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7
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SOLE DISPOSITIVE POWER
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440,000
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8
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SHARED DISPOSITIVE POWER
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0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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440,000
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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33.3% (1)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IC
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(1) |
This percentage is calculated based on 1,320,000 Series D Mandatory Redeemable Preferred Shares outstanding.
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Page 3 of 5 Pages
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Item 1.
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(a)
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Name of Issuer:
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Calamos Convertible Opportunities and Income Fund
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(b)
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Address of Issuer’s Principal Executive Offices:
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2020 Calamos Court, Naperville, Illinois 60563-2787
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Item 2.
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(a)
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Name of Persons Filing:
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MetLife Investment Management, LLC (the “Reporting Person”)
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(b)
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Address of Principal Business Office or, if none, Residence :
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One MetLife Way, Whippany, New Jersey 07981
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(c)
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Citizenship or Place of Organization:
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Delaware
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(d)
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Title of Class of Securities:
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Series D Mandatory Redeemable Preferred Shares
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(e)
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CUSIP Number:
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1281173*7
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Item 3. |
If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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☐
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | ||
(b)
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Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); | ||
(c)
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Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); | ||
(d)
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Investment company registered under Section 8 of the Investment Company Act of 1940 (U.S.C. 80a-8); | ||
(e)
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An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); |
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(f)
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An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); | ||
(g)
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A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); | ||
(h)
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | ||
(i)
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☐
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A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | ||
(j)
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A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J); | ||
(k)
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Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). |
Item 4.
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Ownership:
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Provide the following information regarding the aggregate number and percentage of the class of securities of the Issuer identified in Item 1.
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(a)
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Amount beneficially owned: 440,000
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(b)
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Percent of class: 33.3%*
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* This percentage is calculated based on 1,320,000 Series D Mandatory Redeemable Preferred Shares outstanding.
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(c)
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Number of shares as to which the person has:
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(i) Sole power to vote or to direct the vote: 440,000
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Page 4 of 5 Pages
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(ii) Shared power to vote or direct the vote: 0
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(iii) Sole power to dispose or direct the disposition of: 440,000
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(iv) Shared power to dispose or to direct the disposition of: 0
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Item 5.
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Ownership of Five Percent or Less of a Class:
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Not Applicable
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person:
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The Reporting Person manages these Series D Mandatory Redeemable Preferred Shares on behalf of Metropolitan Life Insurance Company.
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Item 7.
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Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company:
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Not Applicable
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Item 8.
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Identification and Classification of Members of the Group:
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Not Applicable
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Item 9.
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Notice of Dissolution of Group:
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Not Applicable
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Item 10.
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Certifications:
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired
and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose
or effect, other than activities solely in connection with a nomination under § 240.14a-11.
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Page 5 of 5 Pages
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METLIFE INVESTMENT MANAGEMENT, LLC
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Date: June 10, 2022
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By:
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/s/ Israel Grafstein
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Name:
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Israel Grafstein
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Title:
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Chief Compliance Officer
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