0001221432-16-000168.txt : 20160921 0001221432-16-000168.hdr.sgml : 20160921 20160921142423 ACCESSION NUMBER: 0001221432-16-000168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160920 FILED AS OF DATE: 20160921 DATE AS OF CHANGE: 20160921 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: 161895464 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: 161895465 MAIL ADDRESS: STREET 1: 2020 CALAMOS COURT CITY: NAPERVILLE STATE: IL ZIP: 60563 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-09-20 0 0001299033 Calamos Asset Management, Inc. /DE/ CLMS 0001248580 CALAMOS JOHN P SR 2020 CALAMOS COURT NAPERVILLE IL 60563 1 1 1 0 Founder, Chairman & Global CIO 0001307316 Calamos Family Partners, Inc. 2020 CALAMOS COURT NAPERVILLE IL 60563 0 0 1 0 Class A Common Stock 2016-09-20 4 D 0 292 6.81 D 3776860 I By Calamos Investments LLC Class A Common Stock 1419784.754 D CLass A Common Stock 8039.057 I By Spouse THE SHARE DISPOSITIONS IN THIS FORM 4 ARE NOT DIRECTLY FOR THE INDIVIDUAL, PERSONAL ACCOUNTS OF JOHN P. CALAMOS, SR. THESE TRANSFERS REFLECT THE DISPOSITIONS OF CALAMOS ASSET MANAGEMENT, INC. (CAM) SHARES FROM CALAMOS INVESTMENTS LLC (CILLC) WITH THE INTENT TO HELP MANAGE DILUTION THAT WOULD OTHERWISE OCCUR AS A RESULT OF EQUITY AWARDS VESTING UNDER CAM'S EQUITY COMPENSATION PLAN. 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. 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 THAT OCCURRED THROUGH CILLC. Total represents 664,511.7540 shares of Class A Common Stock and 755,273 Restricted Stock Units (which will be settled solely in shares of Class A Common Stock). /s/ William J. Takahashi, Attorney-in-Fact 2016-09-21 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: 9/20/2016* Signature: By: /s/ William J. Takahashi, Attorney-in-Fact *The reporting person disclaims beneficial ownership of all Securities directly-owned by the Designated Filer.