Accession Number: | 0001248580-15-000003 |
Date: | 2015-02-23 |
Issuer: | CALAMOS ASSET MANAGEMENT, INC. /DE/ (CLMS) |
Original Submission Date: |
CALAMOS JOHN P SR
2020 CALAMOS COURT
NAPERVILLE, IL 60563
CALAMOS FAMILY PARTNERS, INC.
2020 CALAMOS COURT
NAPERVILLE, IL 60563
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
CLASS A COMMON STOCK | 2015-02-23 | P | 83 | a | $12.98 | 7,283 | indirect | ||
CLASS A COMMON STOCK | 2015-02-24 | P | 4,248 | a | $13.57 | 3,553,313 | direct | ||
CLASS A COMMON STOCK | 2015-03-02 | P | 100 | a | $12.49 | 3,553,413 | direct | ||
CLASS A COMMON STOCK | 2015-03-02 | P | 7,186 | a | $12.50 | 3,560,599 | direct | ||
CLASS A COMMON STOCK | 2015-02-23 | 0 | $0.00 | 3,549,064 | direct | ||||
CLASS A COMMON STOCK | 2015-02-23 | 0 | $0.00 | 7,283 | indirect | ||||
CLASS A COMMON STOCK | 2015-02-23 | 0 | $0.00 | 7,283 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | total represents 3,028,109.468 shares of class a common stock and 520,955 restricted stock units (which will be settled solely in shares of class a common stock). |
f2 | total represents 3,032,357.778 shares of class a common stock and 520,955 restricted stock units (which will be settled solely in shares of class a common stock). |
f3 | the share purchases in this form 4 are not directly for the individual, personal accounts of john p. calamos, sr. these transactions reflect the purchase of calamos asset management, inc. (cam) shares by calamos investments llc (cillc) primarily to manage dilution resulting from and potentially to fulfill the requirements of cam's equity compensation plan. john p. calamos, sr. owns a controlling interest in calamos family partners, inc., 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 occurring through cillc. |
f4 | total represents 3,032,457.778 shares of class a common stock and 520,955 restricted stock units (which will be settled solely in shares of class a common stock). |
f5 | total represents 3,039,643.778 shares of class a common stock and 520,955 restricted stock units (which will be settled solely in shares of class a common stock). |