Basic Stats
| CIK | 1579881 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Calamos Focus Growth ETF
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| July 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| July 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| June 27, 2025 |
June 27, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Bitcoin 90 Series Structured Alt Protection ETF® – July (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Exchange Ac |
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| June 27, 2025 |
June 27, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Bitcoin 80 Series Structured Alt Protection ETF® – July (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Exchange Ac |
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| June 27, 2025 |
June 27, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Bitcoin Structured Alt Protection ETF® – July (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Exchange Act of 1934, |
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| June 23, 2025 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| June 20, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 33-5015390 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| May 19, 2025 |
8-A12B 1 tm2513931d18a12b.htm 8-A12B Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-4312375 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Cala |
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| April 1, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 33-2383221 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| April 1, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 33-2482672 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| April 1, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 33-2463234 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| March 25, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-4289511 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| March 25, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-3193460 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| February 25, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-2360298 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| February 25, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-4278288 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| January 31, 2025 |
January 31, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Bitcoin 80 Series Structured Alt Protection ETF® – January (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Excha |
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| January 31, 2025 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| January 31, 2025 |
January 31, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Bitcoin 90 Series Structured Alt Protection ETF® – January (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Excha |
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| January 31, 2025 |
January 31, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Bitcoin 90 Series Structured Alt Protection ETF® – January (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Excha |
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| January 23, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-4254967 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| January 17, 2025 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| January 17, 2025 |
January 17, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Bitcoin Structured Alt Protection ETF® – January (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Exchange Act of |
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| December 20, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-4237715 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| December 20, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-3170084 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| December 16, 2024 |
See accompanying Notes to Schedule of Investments Calamos Convertible Equity Alternative ETF SCHEDULE OF INVESTMENTS APRIL 30, 2024 (UNAUDITED) PRINCIPAL AMOUNT VALUE Convertible Bonds (84. |
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| November 22, 2024 |
November 22, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos S&P 500 Structured Alt Protection ETF – December (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Exchange Act o |
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| November 22, 2024 |
8-A12B 1 tm2427811d18a12b.htm 8-A12B November 22, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos Nasdaq-100 Structured Alt Protection ETF – December (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Sectio |
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| November 21, 2024 |
ROPES & GRAY LLP 191 North Wacker Drive, 32nd Floor Chicago, IL 60606 WWW.ROPESGRAY.COM November 21,2024 Rita Rubin T +1 312-845-1241 [email protected] VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Calamos ETF Trust (“Registrant” or “Trust”) on behalf of four of its series, Calamos Bitcoin 100% Protection Strategy (1 yr) ETF — Month TBD 1 Calamo |
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| November 21, 2024 |
Calamos ETF Trust 2020 Calamos Court Naperville, Illinois 60563 Calamos ETF Trust 2020 Calamos Court Naperville, Illinois 60563 866.363.9219 November 21, 2024 United States Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, DC 20549 Re: Calamos ETF Trust (“Registrant” or “Trust”) on behalf of four of its series, Calamos Bitcoin 100% Protection Strategy (1 yr) ETF — Month TBD 1 Calamos Bitcoin 100% Protection Stra |
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| November 20, 2024 |
ROPES & GRAY LLP 191 North Wacker Drive, 32nd Floor Chicago, IL 60606 WWW.ROPESGRAY.COM November 20, 2024 Rita Rubin T +312-845-1241 [email protected] VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Calamos ETF Trust (“Registrant” or “Trust”) on behalf of ten of its series, Calamos Bitcoin 100% Protection Strategy (6 mo) ETF — Month TBD 1 Calamos |
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| November 8, 2024 |
See accompanying Notes to Schedule of Investments Calamos Convertible Equity Alternative ETF SCHEDULE OF INVESTMENTS APRIL 30, 2024 (UNAUDITED) PRINCIPAL AMOUNT VALUE Convertible Bonds (84. |
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| October 24, 2024 |
October 24, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos S&P 500 Structured Alt Protection ETF – November (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of the Securities Exchange Act of |
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| September 25, 2024 |
8-A12B 1 tm2423443d18a12b.htm 8-A12B Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-4151647 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Cala |
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| September 25, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-3099426 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| September 25, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| August 30, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-4100530 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| August 23, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-2059476 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| August 23, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-2264630 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| August 21, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| August 14, 2024 |
August 14, 2024 Mr. Daniel Greenspan Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-4720 Re: Calamos ETF Trust (File Nos. 333-191151 and 811-22887) (the “Registrant”) Dear Mr. Greenspan: I am writing to respond to the comments of the Staff (the “Staff”) of the U.S. Securities and Exchange Commission (the “Commission”) received by the Registrant in connection with |
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| July 18, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-2059476 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| July 12, 2024 |
Calamos ETF Trust 2020 Calamos Court Naperville, Illinois 60563 Calamos ETF Trust 2020 Calamos Court Naperville, Illinois 60563 866.363.9219 July 12, 2024 United States Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, DC 20549 Re: Calamos ETF Trust (“Registrant” or “Trust”) on behalf of one of its series, Calamos Laddered S&P 500 Structured Alt Protection ETF (the “Fund”) (File Nos. 333-191151 and 811-22887) De |
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| June 21, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-2036587 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| June 21, 2024 |
Exhibit 99.(i) Morris, Nichols, Arsht & Tunnell llp 1201 North Market Street P.O. Box 1347 Wilmington, Delaware 19899-1347 (302) 658-9200 (302) 658-3989 FAX June 21, 2024 Calamos ETF Trust 2020 Calamos Court Naperville, IL 60563 Re: Calamos ETF Trust Ladies and Gentlemen: We have acted as special Delaware counsel to Calamos ETF Trust, a Delaware statutory trust (the “Trust”), in connection with ce |
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| June 21, 2024 |
As filed with the U.S. Securities and Exchange Commission on June 21, 2024 As filed with the U.S. Securities and Exchange Commission on June 21, 2024 Securities Act File No. 333-191151 Investment Company Act File No. 811-22887 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☐ Pre-Effective Amendment No. ☐ Post-Effective Amendment No. 35 ☒ and/or REGISTRATION STATEMENT UNDER THE INVE |
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| June 21, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-3084638 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| June 13, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| June 13, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| May 29, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 99-2246961 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| April 22, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| April 22, 2024 |
8-A12B 1 tm245814d108a12b.htm 8-A12B April 22, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust Registration Statement on Form 8-A Ladies and Gentlemen: On behalf of the Calamos S&P 500 Structured Alt Protection ETF – May (the “Fund”), a series of the Calamos ETF Trust (the “Trust”), we enclose herewith for filing pursuant to Section 12(b) of |
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| February 8, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| February 7, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| February 6, 2024 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| January 10, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware 93-3384806 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2020 Calamos Court Naperville, Illinois 60563 |
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| December 26, 2023 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| September 28, 2023 |
ROPES & GRAY LLP 191 NORTH WACKER DRIVE 32nd FLOOR CHICAGO, ILLINOIS 60606-4302 WWW. |
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| January 23, 2023 |
[On Chapman and Cutler LLP Letterhead] January 23, 2023 [On Chapman and Cutler LLP Letterhead] January 23, 2023 Securities and Exchange Commission 100 F Street, N. |
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| January 20, 2023 |
[Chapman and Cutler LLP Letterhead] January 20, 2023 [Chapman and Cutler LLP Letterhead] January 20, 2023 VIA EDGAR CORRESPONDENCE Lisa N. |
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| January 13, 2023 |
[Chapman and Cutler LLP Letterhead] January 13, 2023 CORRESP 1 filename1.htm [Chapman and Cutler LLP Letterhead] January 13, 2023 VIA EDGAR CORRESPONDENCE Lisa N. Larkin United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos ETF Trust (the “Trust”) File Nos. 333-191151; 811-22887 Dear Ms. Larkin: This letter relates to the registration statement filed on Form N-1A for the Calamos ETF Trust (the “Trust” |
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| January 6, 2023 |
[CHAPMAN AND CUTLER LLP LETTERHEAD] January 6, 2023 [CHAPMAN AND CUTLER LLP LETTERHEAD] January 6, 2023 VIA EDGAR CORRESPONDENCE Lisa N. |
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| September 15, 2016 |
Certification of Principal Executive Officer EX-99.CERT Calamos ETF Trust N-Q EX.99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, John P. Calamos, Sr., certify that: 1. I have reviewed this report on Form N-Q of Calamos ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under whic |
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| September 15, 2016 |
Calamos Etf Trust - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS N-Q 1 etft-nq073116.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES INVESTMENT COMPANY ACT FILE NUMBER: 811-21484 EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER: Calamos ETF Trust ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 2020 Calamos |
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| March 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES INVESTMENT COMPANY ACT FILE NUMBER: 811-21484 EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER: Calamos ETF Trust ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 2020 Calamos Court, Naperville Illinois 60563-2787 NAME AND ADDRESS OF AGENT F |
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| March 22, 2016 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, John P. Calamos, Sr., certify that: 1. I have reviewed this report on Form N-Q of Calamos ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not |
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| September 21, 2015 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, John P. Calamos, Sr., certify that: 1. I have reviewed this report on Form N-Q of Calamos ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not |
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| September 21, 2015 |
N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES INVESTMENT COMPANY ACT FILE NUMBER: 811-21484 EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER: Calamos ETF Trust ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 2020 Calamos Court, Naperville Illinois 60563-2787 NAME AND ADDRESS OF AGE |
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| June 3, 2015 |
DEF 14A 1 d933556ddef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as p |
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| March 23, 2015 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, John P. Calamos, Sr., certify that: 1. I have reviewed this report on Form N-Q of Calamos ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not |
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| March 23, 2015 |
N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES INVESTMENT COMPANY ACT FILE NUMBER: 811-21484 EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER: Calamos ETF Trust ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 2020 Calamos Court, Naperville Illinois 60563-2787 NAME AND ADDRESS OF AGE |
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| December 30, 2014 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 2 growthetf.htm AUDITOR'S LETTER REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Calamos ETF Trust In planning and performing our audit of the financial statements of Calamos Focus Growth ETF, the sole Fund constituting Calamos ETF Trust (the “Trust”) as of October 31, 2014 and for the period from July 14, 2014 (commencement |
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| September 18, 2014 |
N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES INVESTMENT COMPANY ACT FILE NUMBER: 811-21484 EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER: Calamos ETF Trust ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 2020 Calamos Court, Naperville Illinois 60563-2787 NAME AND ADDRESS OF AGE |
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| September 18, 2014 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, John P. Calamos, Sr., certify that: 1. I have reviewed this report on Form N-Q of Calamos ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not |
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| July 1, 2014 |
CFGE / Calamos Focus Growth ETF 8-A12B - - 8-A12B 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Calamos ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I. |
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| June 30, 2014 |
K&L GATES LLP 1601 K STREET, N.W. WASHINGTON, DC 20006-1600 T 202.778.9000 F 202.778.9100 klgates.com June 27, 2014 VIA EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Valerie J. Lithotomos Division of Investment Management Re: Calamos ETF Trust (the “Trust”) Pre-Effective Amendment No. 2 to Registration Statement on F |
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| June 30, 2014 |
Calamos Advisors LLC 2020 Calamos Court Naperville, Illinois 60563-1493 May 23, 2014 Exhibit (h)(1) Calamos Advisors LLC 2020 Calamos Court Naperville, Illinois 60563-1493 May 23, 2014 Calamos ETF Trust 2020 Calamos Court Naperville, Illinois 60563 Ladies and Gentlemen: Calamos Advisors LLC (“Calamos Advisors”) hereby undertakes as follows: In the interest of limiting the expenses of that series of Calamos ETF Trust referred to as the Calamos Focus Growth ETF (the “Fund”), Calamos Advisors undertakes to reimburse the Fund, through March 31, 2016, to the extent, but only to the extent, that the annualized expenses of the Fund exceed 0. |
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| June 30, 2014 |
FORESIDE FINANCIAL GROUP, LLC CODE OF ETHICS May 1, 2009 Exhibit (p)(2) FORESIDE FINANCIAL GROUP, LLC CODE OF ETHICS May 1, 2009 INTRODUCTION This Code of Ethics (the “Code”) has been adopted by each of the entities listed in Appendix A (each, a “Company” and collectively, the “Companies”). |
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| June 30, 2014 |
AMENDED AND RESTATED CERTIFICATE OF TRUST CALAMOS ETF TRUST Exhibit (a) AMENDED AND RESTATED CERTIFICATE OF TRUST OF CALAMOS ETF TRUST This Amended and Restated Certificate of Trust of Calamos ETF Trust (the “Trust”) has been duly executed and is being filed in accordance with the provisions of Section 3810 of the Delaware Statutory Trust Act, 12 Del. |
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| June 30, 2014 |
EX-99.Q Exhibit (q) POWER OF ATTORNEY The person whose signature appears below hereby appoints John P. Calamos, Sr., Nimish S. Bhatt, and J. Christopher Jackson and each of them, any of whom may act without the joinder of the others, as such person’s attorney-in-fact to sign and file on such person’s behalf individually and in the capacity stated below such registration statements, amendments, pos |
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| June 30, 2014 |
FORM OF ETF DISTRIBUTION AGREEMENT Exhibit (e) FORM OF ETF DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made this day of 2014, by and between Calamos ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 2020 Calamos Court, Naperville, IL 60563, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101. |
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| June 30, 2014 |
Calamos ETF Trust 2020 Naperville Court Naperville, Illinois 04101 June 27, 2014 EDGAR FILING Securities and Exchange Commission 100 F Street, N. |
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| June 30, 2014 |
Calamos Etf Trust N-1A/A - - N-1A/A N-1A/A As filed with the U.S. Securities and Exchange Commission on June 27, 2014 Securities Act File No. 333-191151 Investment Company Act File No. 811- 22887 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 2 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
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| June 30, 2014 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (j) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the use in this Pre-Effective Amendment No. |
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| June 30, 2014 |
Exhibit (i) K&L GATES LLP 1601 K STREET, N.W. WASHINGTON, DC 20006-1600 T 202.778.9000 F 202.778.9100 klgates.com June 27, 2014 Calamos ETF Trust 2020 Calamos Court Naperville, Illinois 60563 Ladies and Gentlemen: We have acted as counsel to Calamos ETF Trust, a Delaware statutory trust (the “Trust”), in connection with Pre-Effective Amendment No. 2 (the “Pre-Effective Amendment”) to the Trust’s r |
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| June 30, 2014 |
Exhibit (d) MANAGEMENT AGREEMENT THIS AGREEMENT is made as of March 11, 2014, between Calamos Advisors LLC, a Delaware limited liability company having its principal office and place of business in Naperville, Illinois (the “Manager”), and Calamos ETF Trust, a Delaware statutory trust having its principal office and place of business in Naperville, Illinois (the “Trust”). |
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| June 30, 2014 |
Exhibit (p)(1) CALAMOS ASSET MANAGEMENT, INC. CALAMOS ADVISORS LLC CALAMOS FINANCIAL SERVICES LLC CALAMOS WEALTH MANAGEMENT LLC CALAMOS INVESTMENT TRUST CALAMOS ADVISORS TRUST CALAMOS CONVERTIBLE OPPORTUNITIES AND INCOME FUND CALAMOS CONVERTIBLE AND HIGH INCOME FUND CALAMOS STRATEGIC TOTAL RETURN FUND CALAMOS GLOBAL TOTAL RETURN FUND CALAMOS GLOBAL DYNAMIC INCOME FUND CALAMOS INVESTMENTS LLP CALAM |
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| June 30, 2014 |
CALAMOS ETF TRUST Distribution Plan Adopted March 11, 2014 Exhibit (m) CALAMOS ETF TRUST Distribution Plan Adopted March 11, 2014 The Board of Trustees of Calamos ETF Trust (the “Trust”) has determined that there is a reasonable likelihood that the following distribution plan (the “Plan”) will benefit the Trust and the separate series of the Trust (each, a “Fund” and together, the “Funds”) and their shareholders. |
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| June 30, 2014 |
CALAMOS ADVISORS LLC 2020 Calamos Court Naperville, Illinois 60563 Exhibit (l) CALAMOS ADVISORS LLC 2020 Calamos Court Naperville, Illinois 60563 June 11, 2014 Calamos ETF Trust 2020 Calamos Court Naperville, Illinois 60563 Ladies and Gentlemen: In order to provide Calamos ETF Trust (the “Trust”) with initial capital, we hereby purchase from the Trust the amount of shares of the series of the Trust at the price per share as follows: Fund Number of Shares Price Per Share Total Investment Calamos Focus Growth ETF 10,000 $ 10. |
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| May 28, 2014 |
EX-99.Q Exhibit q POWER OF ATTORNEY The person whose signature appears below hereby appoints John P. Calamos, Sr., Nimish S. Bhatt, and J. Christopher Jackson and each of them, any of whom may act without the joinder of the others, as such person’s attorney-in-fact to sign and file on such person’s behalf individually and in the capacity stated below such registration statements, amendments, post- |
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| May 28, 2014 |
N-1A/A 1 d595787dn1aa.htm N-1A/A As filed with the U.S. Securities and Exchange Commission on May 28, 2014 Securities Act File No. 333-191151 Investment Company Act File No. 811- 22887 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 1 x and/or REGISTRATION STATEMENT UNDER THE INVES |
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| May 28, 2014 |
TRANSFER AGENCY AND SERVICE AGREEMENT EX-99.H2 Exhibit (h)(2) TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 21st day of March, 2014, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (State Street or the Transfer Agent), and Calamos ETF Trust, a Delaware business trust having i |
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| May 28, 2014 |
APPENDIX A MASTER CUSTODIAN AGREEMENT EX-99.G2 Exhibit (g)(2) March 21, 2014 State Street Bank and Trust Company 1200 Crown Colony Drive, CC1/5 Crown Colony Office Park Quincy, MA 02169 Attention: Matthew H. Malkasian, Senior Vice President Re: Each Calamos exchange traded fund identified on Exhibit A hereto. (each, a “Calamos ETF”) Ladies and Gentlemen: Please be advised that each Calamos ETF has been organized as a Delaware business |
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| May 28, 2014 |
APPENDIX A MASTER SERVICES AGREEMENT EX-99.(h).(4) Exhibit (h)(4) March 21, 2014 State Street Bank and Trust Company 1200 Crown Colony Drive, CC1/5 Crown Colony Office Park Quincy, MA 02169 Attention: Matthew H. Malkasian, Senior Vice President Re: Each Calamos exchange traded fund identified on Exhibit A hereto. (each, a “Calamos ETF”) Ladies and Gentlemen: Please be advised that each Calamos ETF has been organized as a Delaware bus |
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| May 28, 2014 |
CORRESP K&L GATES LLP 1601 K STREET, N.W. WASHINGTON, DC 20006-1600 T 202.778.9000 F 202.778.9100 klgates.com May 28, 2014 VIA EDGAR Ms. Valerie J. Lithotomos Division of Investment Management United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Calamos ETF Trust: Calamos Focus Growth ETF, formerly known as Calamos Select Growth ETF (the “Fund”) (File Nos. 3 |
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| September 13, 2013 |
EX-99.(A)(2) 3 d595787dex99a2.htm EX-99.(A)(2) Exhibit (a)(2) CALAMOS ETF TRUST 2020 Calamos Court Naperville, Illinois 60563 TRUST INSTRUMENT As adopted June 17, 2013 Table of Contents ARTICLE I DEFINITIONS 1 ARTICLE II THE TRUSTEES 2 Section 1. MANAGEMENT OF THE TRUST 2 Section 2. INITIAL TRUSTEES; ELECTION AND NUMBER OF TRUSTEES 3 Section 3. TERM OF OFFICE OF TRUSTEES 3 Section 4. VACANCIES; AP |
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| September 13, 2013 |
N-8A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940; and in connection with such n |
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| September 13, 2013 |
EX-99.(b) Exhibit (b) CALAMOS ETF TRUST BY-LAWS As adopted June 17, 2013 TABLE OF CONTENTS Page ARTICLE I PRINCIPAL OFFICE AND SEAL 1 Section 1. Principal Office 1 Section 2. Delaware Office 1 Section 3. Seal 1 ARTICLE II TRUSTEES 1 Section 1. Powers 1 Section 2. Compensation of Trustees 1 Section 3. Place of Meetings and Meetings by Telephone 1 Section 4. Regular Meetings 2 Section 5. Special Mee |
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| September 13, 2013 |
N-1A As filed with the U.S. Securities and Exchange Commission on September 13, 2013 Securities Act File No. 33- Investment Company Act File No. 811- 22887 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Post-Effective Amendment No. x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amen |
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| September 13, 2013 |
K&L GATES LLP 1601 K STREET, N.W. WASHINGTON, DC 20006-1600 T 202.778.9000 F 202.778.9100 klgates.com September 13, 2013 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Calamos ETF Trust Initial Registration Statement on Form N-1A Ladies and Gentlemen: Transmitted herewith for filing on behalf of Calamos ETF Trust (the “Trust”), pursuant to the Securitie |
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| September 13, 2013 |
EX-99.(a)(1) Exhibit (a)(1) State of Delaware Secretary of State Division of Corporations Delivered 04:11 PM 06/17/2013 FILED 03:39 PM 06/17/2013 SRV 130783614 – 5352287 FILE STATE of DELAWARE CERTIFICATE of TRUST This Certificate of Trust is filed in accordance with the provisions of the Delaware Statutory Trust Act (Title 12 of the Delaware Code, Section 3801 et seq.) and sets forth the followin |
