-----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, Ure0XWEE6rH1+kM2nM1aAIc8TRKDC5bdkE7FYvX8Mcrrl9IdtvFUnFrFAk5LeJIw 3SSPli0g31Tro8u/VLq4Xg== 0000950123-10-086243.txt : 20100915 0000950123-10-086243.hdr.sgml : 20100915 20100915091414 ACCESSION NUMBER: 0000950123-10-086243 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20100914 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20100915 DATE AS OF CHANGE: 20100915 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: 101072990 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 c60248e8vk.htm FORM 8-K e8vk
Table of Contents

 
 
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): September 14, 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))
 
 

 


TABLE OF CONTENTS

Item 8.01. Other Events
Item 9.01. Financial Statements and Exhibits
SIGNATURES
Exhibit Index
EX-99.1


Table of Contents

Item 8.01. Other Events
On September 14, 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 September 14, 2010.

2


Table of Contents

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: September 14, 2010  By:   /s/ J. Christopher Jackson    
    J. Christopher Jackson   
    Senior Vice President, General Counsel and Secretary   

3


Table of Contents

Exhibit Index
     
Exhibit Number   Description
99.1
  Press release issued by Calamos Advisors LLC on September 14, 2010.

 

EX-99.1 2 c60248exv99w1.htm EX-99.1 exv99w1
Exhibit 99.1
(LETTERHEAD)
FOR IMMEDIATE RELEASE
Contact:
Jennifer McGuffin, Public Relations Manager
Calamos Advisors LLC
Direct: 630.245.1780
Cell: 630.328.3566
Fax: 630.245.6840
jmcguffin@calamos.com
Calamos Investments Statement on ARPS lawsuit for Convertible Opportunities and Income Fund (NYSE: CHI)
Naperville, Illinois, September 14, 2010 — Calamos Investments announced that a law firm has filed a putative class action lawsuit, purportedly on behalf of a class of common shareholders of Calamos Convertible Opportunities and Income Fund (NYSE: 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 following the collapse of auction markets in February 2008. The lawsuit was filed in the Circuit Court of Cook County, Illinois.
The named defendants include John P. Calamos, Sr., Calamos Asset Management, Calamos Advisors LLC, the Calamos Convertible Opportunities and Income Fund and six trustees. Calamos Advisors and Calamos Asset Management believe the lawsuit is without merit and intend to defend themselves vigorously against the charges.
A similar lawsuit, filed on behalf of the same plaintiff against the same defendants in the U.S. District Court for the Northern District of Illinois on July 15, 2010, was voluntarily dismissed by the plaintiff on September 7, 2010.
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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