0001214659-17-000639.txt : 20170202 0001214659-17-000639.hdr.sgml : 20170202 20170202110632 ACCESSION NUMBER: 0001214659-17-000639 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170131 FILED AS OF DATE: 20170202 DATE AS OF CHANGE: 20170202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MANGROVE PARTNERS CENTRAL INDEX KEY: 0001535392 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 17567231 BUSINESS ADDRESS: STREET 1: 645 MADISON AVENUE, 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-897-9535 MAIL ADDRESS: STREET 1: 645 MADISON AVENUE, 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AUGUST NATHANIEL H. CENTRAL INDEX KEY: 0001535393 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 17567232 MAIL ADDRESS: STREET 1: 10 EAST 53RD STREET, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MANGROVE CAPITAL CENTRAL INDEX KEY: 0001535391 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 17567233 BUSINESS ADDRESS: STREET 1: 10 EAST 53RD STREET, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-470-9450 MAIL ADDRESS: STREET 1: 10 EAST 53RD STREET, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mangrove Partners Fund, L.P. CENTRAL INDEX KEY: 0001486623 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 17567234 BUSINESS ADDRESS: STREET 1: 10 EAST 53RD STREET STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 630 5072 MAIL ADDRESS: STREET 1: 10 EAST 53RD STREET STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mangrove Partners Fund (Cayman), Ltd. CENTRAL INDEX KEY: 0001569229 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 17567235 BUSINESS ADDRESS: STREET 1: MAPLES CORP. SVCS, PO BOX 309 STREET 2: UGLAND HOUSE, S. CHURCH STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 1 345 949 8066 MAIL ADDRESS: STREET 1: MAPLES CORP. SVCS, PO BOX 309 STREET 2: UGLAND HOUSE, S. CHURCH STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mangrove Partners Master Fund, Ltd. CENTRAL INDEX KEY: 0001569227 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51003 FILM NUMBER: 17567236 BUSINESS ADDRESS: STREET 1: MAPLES CORP. SVCS, PO BOX 309 STREET 2: UGLAND HOUSE, S. CHURCH STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 1 345 949 8066 MAIL ADDRESS: STREET 1: MAPLES CORP. SVCS, PO BOX 309 STREET 2: UGLAND HOUSE, S. CHURCH STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-1104 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 4 1 marketforms-37726.xml PRIMARY DOCUMENT X0306 4 2017-01-31 true 0001299033 Calamos Asset Management, Inc. /DE/ CLMS 0001569227 Mangrove Partners Master Fund, Ltd. PO BOX 309, UGLAND HOUSE, S. CHURCH ST. GEORGE TOWN E9 KY1-1104 CAYMAN ISLANDS false false true false 0001569229 Mangrove Partners Fund (Cayman), Ltd. MAPLES CORP. SVCS, PO BOX 309 UGLAND HOUSE, S. CHURCH STREET GEORGE TOWN E9 KY1-1104 CAYMAN ISLANDS false false true false 0001486623 Mangrove Partners Fund, L.P. 645 MADISON AVENUE, 14TH FLOOR NEW YORK NY 10022 false false true false 0001535391 MANGROVE CAPITAL 645 MADISON AVENUE, 14TH FLOOR NEW YORK NY 10022 false false true false 0001535393 AUGUST NATHANIEL H. 645 MADISON AVENUE, 14TH FLOOR NEW YORK NY 10022 false false true false 0001535392 MANGROVE PARTNERS 645 MADISON AVENUE, 14TH FLOOR NEW YORK NY 10022 false false true false Class A Common Stock 2017-01-31 4 P false 34925 8.3892 A 2417015 D Class A Common Stock 2017-01-31 4 P false 32368 8.3921 A 2449383 D Class A Common Stock 2017-01-31 4 P false 68300 8.4 A 2517683 D Class A Common Stock 2017-02-01 4 P false 37334 8.4172 A 2555017 D Class A Common Stock 2017-02-01 4 P false 25939 8.4158 A 2580956 D This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital. /s/ Nathaniel H. August, as Director of The Mangrove Partners Master Fund, Ltd. 2017-02-02 /s/ Nathaniel H. August, as Director of Mangrove Partners, the Investment Manager of the Reporting Person 2017-02-02 /s/ Nathaniel H. August, as Director of Mangrove Capital, the General Partner of the Reporting Person 2017-02-02 /s/ Nathaniel H. August as director of Mangrove Capital 2017-02-02 /s/ Nathaniel H. August 2017-02-02 /s/ Nathaniel H. August as director of Mangrove Partners 2017-02-02