-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NPpVe5qY9yLeLmhni+ABFgntvgCMlvIxxbBJdMIismIQBwju2n+KJxp4UFKhj1dq 35XnvtTBXXyAkOGd9zCrAg== 0000950123-10-067726.txt : 20100723 0000950123-10-067726.hdr.sgml : 20100723 20100723162358 ACCESSION NUMBER: 0000950123-10-067726 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20100723 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20100723 DATE AS OF CHANGE: 20100723 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 10967658 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 8-K 1 c59275e8vk.htm FORM 8-K e8vk
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
Form 8-K
 
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES EXCHANGE ACT OF 1934
DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): July 23, 2010
 
Calamos Asset Management, Inc.
(Exact Name of Registrant as Specified in Charter)
 
         
Delaware   0-51003   32-0122554
(State or Other Jurisdiction   (Commission File Number)   (I.R.S. Employer
of Incorporation)       Identification No.)
     
2020 Calamos Court    
Naperville, Illinois   60563
(Address of Principal Executive Offices)   (Zip Code)
REGISTRANT’S TELEPHONE NUMBER, INCLUDING AREA CODE: (630) 245-7200
Not Applicable
(Former Name and Former Address, if Changed Since Last Report)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 

 

Item 8.01. Other Events
On July 23, 2010, Calamos Advisors LLC, an indirect subsidiary of Calamos Asset Management, Inc. and the registered investment advisor of the Calamos Funds, issued a press release; a copy of which is filed as Exhibit 99.1.
Item 9.01. Financial Statements and Exhibits.
     (c) Exhibits
          99.1 Press release issued by Calamos Advisors LLC on July 23, 2010.

2

 

SIGNATURES
     Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
  CALAMOS ASSET MANAGEMENT, INC.
 		  
Date: July 23, 2010  By:   /s/ J. Christopher Jackson    
    J. Christopher Jackson   
    Senior Vice President,
General Counsel and Secretary 		  
 

3

 

Exhibit Index
     
Exhibit Number   Description
99.1
  Press release issued by Calamos Advisors LLC on July 23, 2010.

 

EX-99.1 2 c59275exv99w1.htm EX-99.1 exv99w1
Exhibit 99.1
     
(CALAMOS LOGO)
  2020 Calamos Court
Naperville, IL 60563-2787
www.calamos.com
 
    
 
  News Release
FOR IMMEDIATE RELEASE
Contact:
Jennifer McGuffin
Calamos Advisors LLC
Direct: 630.245.1780
Fax : 630.245.6840
jmcguffin@calamos.com
Calamos Investments Statement on ARPS Demand Letters and Lawsuit
Naperville, Illinois, July 23, 2010 — Calamos Investments announced that each of Calamos Convertible Opportunities and Income Fund (NYSE: CHI), Calamos Strategic Total Return Fund (NYSE: CSQ) and Calamos Convertible and High Income Fund (NYSE: CHY) received a demand letter, dated May 21, 2010, May 21, 2010 and June 25, 2010, respectively, from a law firm on behalf of certain persons described as common shareholders of each respective Fund. The demand letters allege that Calamos Advisors LLC, and the Trustees and officers of the Funds breached their fiduciary duty to the Funds and their respective common shareholders in connection with redemption by the Funds of their auction rate preferred securities following the collapse of auction markets in February 2008. The letters demand that the Boards of Trustees of the Funds take certain action to remedy those alleged breaches. The Boards have informed Calamos that they have established special advisory committees made up of disinterested and independent trustees to consider the demands being made and that the committees will report their findings to the Boards in due course, at which time the Boards will respond to the letters.
In addition, a law firm has filed a purported class action lawsuit on behalf of a putative common shareholder of CHI, alleging breach of fiduciary duty, aiding and abetting breach of fiduciary duty and unjust enrichment in connection with the redemption of auction rate preferred securities by CHI. The named defendants include CHI itself, the current and certain former trustees of CHI, Calamos Advisors LLC and Calamos Asset Management, Inc. Calamos Advisors LLC and Calamos Asset Management believe that the lawsuit is without merit and intend to defend themselves vigorously against these charges.
About Calamos
Calamos Investments is a globally diversified investment firm offering equity, fixed-income, convertible and alternative investment strategies, among others. The firm serves institutions and individuals around the world via separately managed accounts and a family of open-end and closed- end funds, providing a risk-managed approach to capital appreciation and income-producing strategies. For more information, visit www.calamos.com.
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