Calamos Asset Management, Inc. /DE/ 4
4 · Calamos Asset Management, Inc. /DE/ · Filed Feb 22, 2017
Insider Transaction Report
Form 4
CALAMOS JOHN P SR
DirectorChairman, CEO and Co-CIO10% Owner
Transactions
- Disposition to Issuer
Class A Common Stock
2017-02-18$8.25/sh−8,213.402$67,761→ 0 total(indirect: By Spouse) - Disposition to Issuer
Class A Common Stock
2017-02-18$8.25/sh−3,529,783$29,120,710→ 247,077 total(indirect: By LLC) - Disposition to Issuer
Class A Common Stock
2017-02-18$8.25/sh−786,198.385$6,486,137→ 647,581 total - Disposition to Issuer
Class A Common Stock
2017-02-21$8.24/sh−247,077$2,035,914→ 0 total(indirect: By LLC)
Holdings
- 647,581
Class A Common Stock
Footnotes (3)
- [F1]Class A Common Stock disposed of via tender offer.
- [F2]Total represents 647,581 Restricted Stock Units; Class A Common Stock disposed of via tender offer.
- [F3]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 100% OF CAM WHICH OWNS 100% 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.