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.