CLMS SEC Filings - Calamos Asset Management, Inc.- Annual Report, Proxy Statement, Prospectus

Basic Stats

CIK

1299033

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 Asset Management, Inc.

SEC Filings (Chronological Order)

This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.

March 3, 2017	15-12G	Calamos Asset Management 15-12G 15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTION 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact name of registrant as
March 3, 2017	S-8 POS	Calamos Asset Management S-8 POS S-8 POS As filed with the Securities and Exchange Commission on March 3, 2017 Registration No.
February 22, 2017	EX-3.1	AMENDED AND RESTATED CERTIFICATE OF INCORPORATION CALAMOS ASSET MANAGEMENT, INC. EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CALAMOS ASSET MANAGEMENT, INC. 1. The name of the Corporation is Calamos Asset Management, Inc. (the ?Corporation?). 2. The address of the registered office of the Corporation in the State of Delaware is 2711 Centerville Road, Suite 400, City of Wilmington, County of New Castle, 19808 and the name of the registered agent of th
February 22, 2017	EX-3.2	BYLAWS CALAMOS ASSET MANAGEMENT, INC. (a Delaware Corporation) (referred to herein as the “Corporation”) As adopted February 21, 2017 ARTICLE I EX-3.2 3 d321001dex32.htm EX-3.2 Exhibit 3.2 BYLAWS OF CALAMOS ASSET MANAGEMENT, INC. (a Delaware Corporation) (referred to herein as the “Corporation”) As adopted February 21, 2017 ARTICLE I Stockholders Section 1. Place of Meetings. Meetings of stockholders shall be held at such place, either within or without the State of Delaware, as shall be designated from time to time by the Board of Direct
February 22, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 8-K 1 d321001d8k.htm 8-K 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): February 21, 2017 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-51003 32-0122554 (State or other jurisdic
February 21, 2017	SC 14D9/A	Calamos Asset Management SC 14D9/A SC 14D9/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 (Amendment No. 4) Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Name of Person(s) Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securit
February 21, 2017	EX-99.A.V.II	CALAMOS PARTNERS LLC COMPLETES TENDER OFFER FOR ALL OUTSTANDING SHARES OF CALAMOS ASSET MANAGEMENT, INC. EX-99.(a)(v)(ii) Exhibit (a)(v)(ii) CALAMOS PARTNERS LLC COMPLETES TENDER OFFER FOR ALL OUTSTANDING SHARES OF CALAMOS ASSET MANAGEMENT, INC. NAPERVILLE, Ill., February 21, 2017 — Calamos Partners LLC (“Calamos Partners”) and its subsidiary, CPCM Acquisition, Inc. (the “Acquirer”), today announced that they have successfully completed the tender offer to purchase all outstanding shares of the Class
February 21, 2017	SC TO-T/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Amendment No. 5 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) CPCM Acquisition, Inc. Calamos Partners LLC John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror)) Class A Common Stoc
February 21, 2017	EX-99.A.V.III	CALAMOS PARTNERS LLC COMPLETES ACQUISITION OF CALAMOS ASSET MANAGEMENT, INC. EX-99.(a)(v)(iii) Exhibit (a)(v)(iii) CALAMOS PARTNERS LLC COMPLETES ACQUISITION OF CALAMOS ASSET MANAGEMENT, INC. NAPERVILLE, Ill., February 21, 2017 — Calamos Partners LLC (“Calamos Partners”) and its subsidiary, CPCM Acquisition, Inc. (the “Acquirer”), today announced the completion of its acquisition of Calamos Asset Management, Inc. (NASDAQ: CLMS) (“CAM”). Following the completion of its succ
February 15, 2017	SC 14D9/A	Calamos Asset Management SC 14D9/A SC 14D9/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 (Amendment No. 3) Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Name of Person(s) Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securit
February 15, 2017	SC TO-T/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC TO-T/A SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Amendment No. 4 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) CPCM Acquisition, Inc. Calamos Partners LLC John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror)) Class A C
February 15, 2017	EX-99.A.1.IX	WAIVER OF APPRAISAL CONDITION AND EXTENSION OF OFFER PERIOD ANNOUNCED FOR TENDER OFFER TO ACQUIRE CALAMOS ASSET MANAGEMENT EX-99.A.1.IX 2 d327780dex99a1ix.htm EX-99.(A)(1)(IX) Exhibit (a)(1)(ix) WAIVER OF APPRAISAL CONDITION AND EXTENSION OF OFFER PERIOD ANNOUNCED FOR TENDER OFFER TO ACQUIRE CALAMOS ASSET MANAGEMENT NAPERVILLE, Ill., February 15, 2017 — CPCM Acquisition, Inc. (the “Acquirer”) announced today that it is waiving the appraisal condition for its previously announced tender offer to acquire all of the outs
February 14, 2017	SC 13G/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 11) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropri
February 14, 2017	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 d295036dex991.htm EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G, dated February 14, 2017 (“Statement”), with respect to the Class A Common Stock, par value $0.01 per share, of Calamos Asset Management, Inc. is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordan
February 8, 2017	SC TO-T/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC TO-T/A SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Amendment No. 3 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) CPCM Acquisition, Inc. Calamos Partners LLC John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror)) Class A C
February 8, 2017	EX-99.A.5.VI	IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE JOHN SOLAK, Individually and On ) Behalf of All Others Similarly Situated, ) ) Plaintiff, ) ) v. ) Civil Action No. ) JOHN P. CALAMOS, SR., THOMAS F. ) EGGERS, JOHN KOUDOUNIS, KEITH ) (KIM) M. SCHAPPE EX-99.A.5.VI 2 d332674dex99a5vi.htm EX-99.(A)(5)(VI) Exhibit (a)(5)(vi) EFiled: Feb 03 2017 01:18PM EST Transaction ID 60150468 Case No. 2017-0083- IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE JOHN SOLAK, Individually and On ) Behalf of All Others Similarly Situated, ) ) Plaintiff, ) ) v. ) Civil Action No. ) JOHN P. CALAMOS, SR., THOMAS F. ) EGGERS, JOHN KOUDOUNIS, KEITH ) (KIM) M. SCHAPPERT
February 6, 2017	SC 14D9/A	Calamos Asset Management SC 14D9/A SC 14D9/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 (Amendment No. 2) Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Name of Person(s) Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securit
February 6, 2017	SC 13E3/A	CLMS / Calamos Asset Management, Inc. / Calamos Asset Management, Inc. /DE/ - SC 13E3/A SC 13E3/A 1 d302934dsc13e3a.htm SC 13E3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (§ 240.13(E)-100) RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) CALAMOS ASSET MANAGEMENT, INC. (Name of Issuer) CALAMOS ASSET MANAGEMENT, INC. (Name of the Person Filing Statement) Class A Common Stock, par
February 6, 2017	CORRESP	Calamos Asset Management ESP CORRESP VIA EDGAR United States Securities Exchange Commission Division of Corporation Finance Washington, D.
February 3, 2017	EX-99.A.5.II	IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE COLLEEN WITMER, Individually and On Behalf ) of All Others Similarly Situated,, ) ) Plaintiff, ) ) v. ) ) Civil Action No. JOHN P. CALAMOS, SR., THOMAS F. ) EGGERS, JOHN KOUDOUNIS, KEITH ) (KIM) M. SC EX-99.A.5.II Exhibit (a)(5)(ii) EFiled: Jan 31 2017 02:24PM EST Transaction ID 60141044 Case No. 2017-0073- IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE COLLEEN WITMER, Individually and On Behalf ) of All Others Similarly Situated,, ) ) Plaintiff, ) ) v. ) ) Civil Action No. JOHN P. CALAMOS, SR., THOMAS F. ) EGGERS, JOHN KOUDOUNIS, KEITH ) (KIM) M. SCHAPPERT, WILLIAM N. ) SHIEBLER, CALAMOS PA
February 3, 2017	SC TO-T/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC TO-T/A SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Amendment No. 2 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) CPCM Acquisition, Inc. Calamos Partners LLC John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror)) Class A C
February 3, 2017	EX-99.A.5.III	IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE RIDGELY FOSTER, Individually and On ) Behalf of All Others Similarly Situated, ) ) Plaintiff, ) ) v. ) Civil Action No. ) JOHN P. CALAMOS, SR., THOMAS F. ) EGGERS, JOHN KOUDOUNIS, KEITH ) (KIM) M. SCH EX-99.A.5.III Exhibit (a)(5)(iii) EFiled: Jan 31 2017 06:03PM EST Transaction ID 60141158 Case No. 2017-0075- IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE RIDGELY FOSTER, Individually and On ) Behalf of All Others Similarly Situated, ) ) Plaintiff, ) ) v. ) Civil Action No. ) JOHN P. CALAMOS, SR., THOMAS F. ) EGGERS, JOHN KOUDOUNIS, KEITH ) (KIM) M. SCHAPPERT, WILLIAM N. ) SHIEBLER, CALAMOS P
February 3, 2017	CORRESP	Calamos Asset Management ESP CORRESP PETER G. SMITH PHONE 212-715-9401 FAX 212-715-8000 [email protected] February 3, 2017 VIA EDGAR Nicholas P. Panos Senior Special Counsel United States Securities and Exchange Commission Division of Corporation Finance Office of Mergers and Acquisitions 100 F Street, N.E. Washington, D.C. 20549 Re: Calamos Asset Management, Inc. Schedule 13E-3 Filed January 18, 2017 by Calamos Partners
February 1, 2017	SC 13G/A	CLMS / Calamos Asset Management, Inc. / Mangrove Partners Master Fund, Ltd. - AMENDMENT NO. 2 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2016 and January 31, 2017 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to des
January 30, 2017	SC 14D9/A	Calamos Asset Management SCHEDULE 14D-9 AMENDMENT NO. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 (Amendment No. 1) Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Name of Person(s) Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811
January 30, 2017	EX-99.A.5.I	IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE BRIAN LERMAN, Individually and On Behalf of All Others Similarly Situated, C.A. No. Plaintiff, CLASS ACTION v. JOHN P. CALAMOS, SR., JOHN S. KOUDOUNIS, THOMAS F. EGGERS, KEITH M. SCHAPPERT, WILLIAM N. EX-99.A.5.I 2 d146422dex99a5i.htm EX-99.A.5.I Exhibit (a)(5)(i) EFiled: Jan 25 2017 05:48PM EST Transaction ID 60119534 Case No. 2017-0058- IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE BRIAN LERMAN, Individually and On Behalf of All Others Similarly Situated, C.A. No. Plaintiff, CLASS ACTION v. JOHN P. CALAMOS, SR., JOHN S. KOUDOUNIS, THOMAS F. EGGERS, KEITH M. SCHAPPERT, WILLIAM N. SHIEBLER,
January 30, 2017	SC TO-T/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC TO-T/A SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Amendment No. 1 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) CPCM Acquisition, Inc. Calamos Partners LLC John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror)) Class A C
January 19, 2017	EX-99.E.12	LEASE 2020 Calamos Court Annex LLC, Calamos Holdings LLC, Dated: August 1, 2005 TABLE OF CONTENTS EX-99.E.12 Exhibit (e)(12) LEASE Between 2020 Calamos Court Annex LLC, Landlord, and Calamos Holdings LLC, Tenant Dated: August 1, 2005 TABLE OF CONTENTS Page 1. Base Rent 1 2. Additional Rent 1 3. Use of Premises 7 4. Prior Occupancy 9 5. Delivery of Possession 10 6. Alterations 10 7. Services 11 8. Condition and Care of Premises 13 9. Return of Premises 14 10. Holding Over 1
January 19, 2017	SC 14D9	Calamos Asset Management SC 14D9 SC 14D9 Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement Under Section 14(d)(4)of the Securities Exchange Act of 1934 Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Name of Person(s) Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities
January 19, 2017	EX-99.E.14	AMENDED AND RESTATED LUNCH AND CATERING AGREEMENT EX-99.E.14 Exhibit (e)(14) AMENDED AND RESTATED LUNCH AND CATERING AGREEMENT THIS AMENDED AND RESTATED LUNCH AND CATERING AGREEMENT (this Agreement) is made as of the 1st day of January, 2011 by and between CF RESTAURANT ENTERPRISES LLC, a Delaware limited liability company (CFRE) and CALAMOS HOLDINGS LLC, a Delaware limited liability company (Calamos). WITNESSETH: WHEREAS, pursuant to that
January 19, 2017	EX-99.E.13	SUBLEASE AGREEMENT EX-99.E.13 Exhibit (e)(13) SUBLEASE AGREEMENT This Sublease Agreement (?Sublease?) is made and entered into as of the 1st day of January, 2011 (?Effective Date?) between Calamos Holdings LLC, a Delaware limited liability company (the ?Sublessor?), and Primacy Business Center LLC, a Delaware limited liability company (the ?Subtenant?). 1. PREMISES: In accordance with that Lease Agreement dated Octo
January 19, 2017	EX-99.(C)(2)	DUFF & PHELPS EX-99.(C)(2) 2 d320701dex99c2.htm EX-99.(C)(2) Exhibit (c)(2) DUFF & PHELPS Confidential Project Chronos Fairness Analysis December 18, 2016 Presentation to the Special Committee of the Board of Directors of Calamos Asset Management, Inc. The information contained herein is of a confidential nature and is intended for the use of the persons or firm to whom it is furnished by Duff & Phelps, LLC. Re
January 19, 2017	SC 13E3	CLMS / Calamos Asset Management, Inc. / Calamos Asset Management, Inc. /DE/ - SC 13E3 SC 13E3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (§ 240.13(E)-100) RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934 CALAMOS ASSET MANAGEMENT, INC. (Name of Issuer) CALAMOS ASSET MANAGEMENT, INC. (Name of the Person Filing Statement) Class A Common Stock, par value $0.01 per share (Title of Class of Securities)
January 19, 2017	SC 13G/A	CLMS / Calamos Asset Management, Inc. / Mangrove Partners Master Fund, Ltd. - AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 12811R104 (CUSIP Number) January 18, 2017 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursua
January 18, 2017	EX-99.A.1.IV	OFFER TO PURCHASE FOR CASH All Outstanding Shares of Class A Common Stock CALAMOS ASSET MANAGEMENT, INC. $8.25 NET PER SHARE Pursuant to the Offer to Purchase, dated January 18, 2017 CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PARTNER EX-99.A.1.IV 5 d326983dex99a1iv.htm EX-99.A.1.IV Exhibit (a)(1)(iv) OFFER TO PURCHASE FOR CASH All Outstanding Shares of Class A Common Stock of CALAMOS ASSET MANAGEMENT, INC. at $8.25 NET PER SHARE Pursuant to the Offer to Purchase, dated January 18, 2017 by CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PARTNERS LLC THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 PM, NEW YORK CI
January 18, 2017	EX-99.C.1	Confidential – For Discussion Purposes Only EX-99.C.1 9 d326983dex99c1.htm EX-99.C.1 Exhibit (c)(1) Confidential – For Discussion Purposes Only Project Chronos November 21, 2016 Chronos Market Backdrop Confidential – For Discussion Purposes Only Dividend Yield Chronos has a dividend yield of 8.5%. The dividend greatly exceeds earnings The Chronos dividend represents ~9x and ~6x of 2016E and 2017E earnings, respectively Similar sized equity
January 18, 2017	EX-99.B.1	[NO FURTHER TEXT; SIGNATURE PAGE FOLLOWS] EX-99.B.1 8 d326983dex99b1.htm EX-99.B.1 Exhibit (b)(1) January 6, 2017 John P. Calamos, Sr. 2020 Calamos Court Naperville, IL 60563 Dear Mr. Calamos: [Redacted] is pleased to advise you of its commitment to provide to you (the “Borrower”) the credit facility (the “Facility”) described in the Term Sheet annexed hereto and incorporated herein by reference (the “Term Sheet”) (all terms not defined h
January 18, 2017	EX-99.C.2	Confidential – For Discussion Purposes Only EX-99.C.2 Exhibit (c)(2) Confidential – For Discussion Purposes Only Project Chronos Update December 1, 2016 Summary – Initial Chronos Perspective $10.00 $8.00 $1.05 $7.76 (1) $6.12 $0.58 (2) ($0.15) $6.00 $2.20 $4.00 $1.35 $2.00 $2.72 $0.00 Balance Sheet Component Carryforwards Business Component Total Per Share Balance Sheet Component Carryforwards Business Component ($mm, except per share data)
January 18, 2017	EX-99.A.1.III	NOTICE OF GUARANTEED DELIVERY for Tender of Shares of Class A Common Stock CALAMOS ASSET MANAGEMENT, INC. $8.25 NET PER SHARE Pursuant to the Offer to Purchase, dated January 18, 2017 CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PARTNE EX-99.A.1.III 4 d326983dex99a1iii.htm EX-99.A.1.III Exhibit (a)(1)(iii) NOTICE OF GUARANTEED DELIVERY for Tender of Shares of Class A Common Stock of CALAMOS ASSET MANAGEMENT, INC. at $8.25 NET PER SHARE Pursuant to the Offer to Purchase, dated January 18, 2017 by CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PARTNERS LLC THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 PM, NEW YO
January 18, 2017	EX-99.A.1.II	LETTER OF TRANSMITTAL to Tender All Outstanding Shares of Class A Common Stock CALAMOS ASSET MANAGEMENT, INC. $8.25 NET PER SHARE Pursuant to the Offer to Purchase dated January 18, 2017 CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PAR EX-99.A.1.II Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL to Tender All Outstanding Shares of Class A Common Stock of CALAMOS ASSET MANAGEMENT, INC. at $8.25 NET PER SHARE Pursuant to the Offer to Purchase dated January 18, 2017 by CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PARTNERS LLC THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 PM, NEW YORK CITY TIME, ON WEDNESDAY FEBRUARY 1
January 18, 2017	EX-99.A.1.V	OFFER TO PURCHASE FOR CASH All Outstanding Shares of Class A Common Stock CALAMOS ASSET MANAGEMENT, INC. $8.25 NET PER SHARE Pursuant to the Offer to Purchase dated January 18, 2017 CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PARTNERS EX-99.A.1.V EXHIBIT (a)(1)(v) OFFER TO PURCHASE FOR CASH All Outstanding Shares of Class A Common Stock of CALAMOS ASSET MANAGEMENT, INC. at $8.25 NET PER SHARE Pursuant to the Offer to Purchase dated January 18, 2017 by CPCM ACQUISITION, INC. a wholly owned subsidiary of CALAMOS PARTNERS LLC THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 PM, NEW YORK CITY TIME, ON WEDNESDAY, FEBRUARY 15, 201
January 18, 2017	SC TO-T	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC TO-T SC TO-T 1 d326983dsctot.htm SC TO-T UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) CPCM Acquisition, Inc. Calamos Partners LLC John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror))
January 18, 2017	EX-99.A.1.I	Offer to Purchase for Cash All Outstanding Shares of Class A Common Stock Calamos Asset Management, Inc. $8.25 Net Per Share CPCM Acquisition, Inc. a wholly owned subsidiary of Calamos Partners LLC EX-99.A.1.I Table of Contents Exhibit (a)(1)(i) Offer to Purchase for Cash All Outstanding Shares of Class A Common Stock of Calamos Asset Management, Inc. at $8.25 Net Per Share by CPCM Acquisition, Inc. a wholly owned subsidiary of Calamos Partners LLC THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 PM, NEW YORK CITY TIME, ON WEDNESDAY, FEBRUARY 15, 2017, UNLESS THE OFFER IS EXTENDED. CPCM A
January 18, 2017	EX-99.A.1.VI	This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below). The Offer (as defined below) is made solely by the Offer to Purchase, dated January 18, 2017, and the related Letter of Transmittal an EX-99.A.1.VI 7 d326983dex99a1vi.htm EX-99.A.1.VI Exhibit (a)(1)(vi) CORRECTED This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below). The Offer (as defined below) is made solely by the Offer to Purchase, dated January 18, 2017, and the related Letter of Transmittal and any amendments or supplements thereto. The Offeror (as defined below)
January 12, 2017	SC14D9C	Calamos Asset Management SCHEDULE 14D-9C SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement under Section 14(d)(4) of the Securities Exchange Act of 1934 Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Names of Persons Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number
January 12, 2017	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 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): January 10, 2017 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of Incorporation) (Comm
January 12, 2017	EX-99.1	CALAMOS ASSET MANAGEMENT, INC. EXECUTES DEFINITIVE AGREEMENT TO BE ACQUIRED BY FOUNDER JOHN CALAMOS AND CEO JOHN KOUDOUNIS Tender Offer to be Made at Previously Announced Price of $8.25 Per Share EXHIBIT 99.1 January 11, 2017 CALAMOS ASSET MANAGEMENT, INC. EXECUTES DEFINITIVE AGREEMENT TO BE ACQUIRED BY FOUNDER JOHN CALAMOS AND CEO JOHN KOUDOUNIS Tender Offer to be Made at Previously Announced Price of $8.25 Per Share NAPERVILLE, Ill. , January 11, 2017 — Calamos Asset Management, Inc. (NASDAQ: CLMS) (“ CAM”), a publicly traded holding company which currently owns a minority stake of the i
January 12, 2017	EX-2.1	AGREEMENT AND PLAN OF MERGER by and among Calamos Partners LLC CPCM Acquisition, Inc. Calamos Asset Management, Inc. Dated as of January 10, 2017 TABLE OF CONTENTS EXHIBIT 2.1 EXECUTION COPY AGREEMENT AND PLAN OF MERGER by and among Calamos Partners LLC CPCM Acquisition, Inc. and Calamos Asset Management, Inc. Dated as of January 10, 2017 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS Section 1.1 Definitions 2 ARTICLE II THE OFFER Section 2.1 The Offer 7 Section 2.2 Company Actions 13 ARTICLE III THE MERGER Section 3.1 The Merger 14 Section 3.2 Effective Tim
January 12, 2017	EX-2.1	AGREEMENT AND PLAN OF MERGER by and among Calamos Partners LLC CPCM Acquisition, Inc. Calamos Asset Management, Inc. Dated as of January 10, 2017 TABLE OF CONTENTS EXHIBIT 2.1 EXECUTION COPY AGREEMENT AND PLAN OF MERGER by and among Calamos Partners LLC CPCM Acquisition, Inc. and Calamos Asset Management, Inc. Dated as of January 10, 2017 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS Section 1.1 Definitions 2 ARTICLE II THE OFFER Section 2.1 The Offer 7 Section 2.2 Company Actions 13 ARTICLE III THE MERGER Section 3.1 The Merger 14 Section 3.2 Effective Tim
January 12, 2017	SC TO-C	Calamos Asset Management FORM 8-K 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): January 10, 2017 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of Incorporation) (Comm
January 12, 2017	EX-99.1	CALAMOS ASSET MANAGEMENT, INC. EXECUTES DEFINITIVE AGREEMENT TO BE ACQUIRED BY FOUNDER JOHN CALAMOS AND CEO JOHN KOUDOUNIS Tender Offer to be Made at Previously Announced Price of $8.25 Per Share EX-99.1 3 ex99-1.htm PRESS RELEASE DATED JANUARY 11, 2017 EXHIBIT 99.1 January 11, 2017 CALAMOS ASSET MANAGEMENT, INC. EXECUTES DEFINITIVE AGREEMENT TO BE ACQUIRED BY FOUNDER JOHN CALAMOS AND CEO JOHN KOUDOUNIS Tender Offer to be Made at Previously Announced Price of $8.25 Per Share NAPERVILLE, Ill., January 11, 2017 — Calamos Asset Management, Inc. (NASDAQ: CLMS) (“CAM”), a publicly traded holdin
January 11, 2017	EX-99.1	Exhibit 99.1 Exhibit 99.1 January 11, 2017 CALAMOS ASSET MANAGEMENT, INC. EXECUTES DEFINITIVE AGREEMENT TO BE ACQUIRED BY FOUNDER JOHN CALAMOS AND CEO JOHN KOUDOUNIS Tender Offer to be Made at Previously Announced Price of $8.25 Per Share NAPERVILLE, Ill. , January 11, 2017 ? Calamos Asset Management, Inc. (NASDAQ: CLMS) (? CAM?), a publicly traded holding company which currently owns a minority stake of the i
January 11, 2017	SC TO-C	Calamos Asset Management JOHN P CALAMOS, SR SC TO-C 1-11-2017 (CALAMOS ASSET MANAGEMENT, INC) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) CPCM Acquisition Sub, Inc. Calamos Partners LLC John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror)) Class A Common Stock, par value
January 11, 2017	SC14D9C	Calamos Asset Management SCHEDULE 14D-9C SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement under Section 14(d)(4) of the Securities Exchange Act of 1934 Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Names of Persons Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number
December 19, 2016	SC14D9C	Calamos Asset Management SC14D9C SC14D9C SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 Solicitation/Recommendation Statement under Section 14(d)(4) of the Securities Exchange Act of 1934 Calamos Asset Management, Inc. (Name of Subject Company) Calamos Asset Management, Inc. (Names of Persons Filing Statement) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP
December 19, 2016	EX-99.1	Exhibit 99.1 Exhibit 99.1 FIRM FOUNDER JOHN CALAMOS AND CEO JOHN KOUDOUNIS TO ACQUIRE CALAMOS ASSET MANAGEMENT, INC. Acquisition Subject to Execution of Definitive Documentation NAPERVILLE, Ill., Dec. 19, 2016 - Calamos Asset Management, Inc. (NASDAQ: CLMS) (" CAM") announced today that it has reached an agreement in principle to be acquired by an entity (the " Acquirer") formed by Mr. John Calamos and Mr. Joh
December 19, 2016	SC TO-C	Calamos Asset Management JOHN P. CALAMOS, SR. SC TO-C 12-19-2016 (CALAMOS ASSET MANAGEMENT, INC.) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Calamos Asset Management, Inc. (Name of Subject Company (Issuer)) John P. Calamos, Sr. John S. Koudounis (Names of Filing Person (Offeror)) Class A Common Stock, par value $0.01 per share (Title of Class of Securities)
December 5, 2016	CORRESP	Calamos Asset Management ESP Document Via EDGAR December 5, 2016 Securities and Exchange Commission Washington, DC 20549 Attn: John P.
November 4, 2016	10-Q	Calamos Asset Management FORM 10-Q (Quarterly Report) 10-Q 1 clms-2016x09x30x10q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: September 30, 2016 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS
October 27, 2016	EX-99.1	Calamos Asset Management, Inc. Reports Third Quarter 2016 Results and Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jeff Kelley SVP, Head of Marketing +1.630.577.9687 [email protected] Calamos Asset Management, Inc. Reports Third Quarter 2016 Results and Declares Dividend NAPERVILLE, Ill., October 27, 2016 Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Calamos Investments LLC, with
October 27, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 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): October 27, 2016 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of Incorporation) (Comm
August 8, 2016	10-Q	Calamos Asset Management FORM 10-Q (Quarterly Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2016 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name o
August 8, 2016	EX-4.2	AMENDMENT STOCKHOLDERS' AGREEMENT EX-4.2 3 clms-2016x06x30xex42.htm EXHIBIT 4.2 Exhibit 4.2 AMENDMENT TO STOCKHOLDERS' AGREEMENT This Amendment to Stockholders’ Agreement is entered into by Calamos Asset Management, Inc., a Delaware corporation (the “Company”), as of this 26th day of July, 2016 (this “Amendment”). WHEREAS, reference is hereby made to that certain Stockholders’ Agreement dated as of October 28, 2004 by and among th
August 8, 2016	EX-3.(I)(B)	CERTIFICATE OF AMENDMENT OF THE SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION CALAMOS ASSET MANAGEMENT, INC. EX-3.(I)(B) 2 clms-2016x06x30xex3.htm EXHIBIT 3.(I)(B) Exhibit 3(i)(b) CERTIFICATE OF AMENDMENT OF THE SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CALAMOS ASSET MANAGEMENT, INC. Calamos Asset Management, Inc., a corporation duly organized and existing under the General Corporation Law of the State of Delaware (“Corporation”), does hereby certify: FIRST: That the Board of Directors
August 8, 2016	EX-10.3	CONFIDENTIALITY AND RESTRICTIVE COVENANTS AGREEMENT EX-10.3 6 clms-2016x06x30xex103.htm EXHIBIT 10.3 Exhibit 10.3 CONFIDENTIALITY AND RESTRICTIVE COVENANTS AGREEMENT This Agreement is made by and between John S. Koudounis (“Employee”) and Calamos Advisors LLC, Calamos Wealth Management LLC, Calamos Financial Services LLC, Calamos Investments LLC, and Calamos Asset Management, Inc. (each of the foregoing, together with their respective subsidiaries
August 8, 2016	EX-10.8	CALAMOS ASSET MANAGEMENT, INC. Calamos Partners Deferred Bonus Award Calamos Partners Deferred Bonus Award Statement for ______________ Exhibit 10.8 CALAMOS ASSET MANAGEMENT, INC. Calamos Partners Deferred Bonus Award Calamos Partners Deferred Bonus Award Statement for Congratulations! The following summarizes your Calamos Partners Deferred Bonus Award (“Deferred Bonus Award”): Deferred Bonus (“Deferred Bonus”) Grant date: March 3, 2016 Amount of Deferred Bonus: $ Million Vesting date: June 30, 2017* *Subject to earlier vesting as
August 8, 2016	EX-10.1	AMENDMENT FOURTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY CALAMOS INVESTMENTS LLC (F/K/A CALAMOS HOLDINGS LLC) EX-10.1 4 clms-2016x06x30xex101.htm EXHIBIT 10.1 Exhibit 10.1 AMENDMENT TO FOURTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CALAMOS INVESTMENTS LLC (F/K/A CALAMOS HOLDINGS LLC) This Amendment to Fourth Amended and Restated Limited Liability Company Agreement (this “Amendment”) of Calamos Investments LLC, a Delaware limited liability company (f/k/a Calamos Holdings LLC) (the “Comp
August 8, 2016	EX-10.5	/s/ John S. Koudounis John S. Koudounis Chief Executive Officer EX-10.5 8 clms-2016x06x30xex105.htm EXHIBIT 10.5 Exhibit 10.5 June 9, 2016 Mr. Thomas E. Herman 824 S. Kenilworth Ave. Oak Park, IL 60304 Dear Mr. Herman: This letter will confirm our conditional offer of employment open until June 10, 2016 for the position; Senior Vice President, Chief Financial Officer with Calamos Asset Management, Inc. (“CLMS”) and Calamos Investments LLC (“CILLC”), and Calamo
August 8, 2016	EX-10.9	CALAMOS ASSET MANAGEMENT, INC. Calamos Partners Equity Award Equity Award Statement for ______________ Exhibit 10.9 CALAMOS ASSET MANAGEMENT, INC. Calamos Partners Equity Award Equity Award Statement for Congratulations! The following summarizes your Calamos Partners Equity Award (“Equity Award”): Restricted Stock Units (“RSUs”) Grant date: March 15, 2016 Total number of RSUs granted: Grant date value: $ Vesting schedule: The specified percentage of your RSUs vest on the following dates: 20% on Mar
August 8, 2016	EX-10.4	CALAMOS ASSET MANAGEMENT, INC. Calamos Partners Deferred Bonus Award Calamos Partners Deferred Bonus Award Statement for John S. Koudounis Exhibit 10.4 CALAMOS ASSET MANAGEMENT, INC. Calamos Partners Deferred Bonus Award Calamos Partners Deferred Bonus Award Statement for John S. Koudounis Congratulations! The following summarizes your Calamos Partners Deferred Bonus Award (“Deferred Bonus Award”): Deferred Bonus (“Deferred Bonus”) Grant date: April 4, 2016 Amount of Deferred Bonus: $1.25 Million Vesting date: June 30, 2017* *Subject
August 8, 2016	EX-10.7	Warmest Regards, /s/ John S. Koudounis John S. Koudounis Chief Executive Officer Accepted and Agreed to This 17th day of June, 2016 /s/ Nimish S. Bhatt Nimish S. Bhatt Exhibit 10.7 June 17, 2016 Via Email ([email protected]) Mr. Nimish S. Bhatt 2431 Fawn Lake Cir Naperville, IL 60564 Dear Nimish: For good and valuable consideration, this side letter agreement amends that certain Confidentiality and Restrictive Covenants Agreement signed by you on April 21, 2015 (“CRCA”) as follows: Sections 5(c) and 5(d) of the CRCA are replaced as follows: “(c) refer to any Fu
August 8, 2016	EX-10.6	Warmest Regards, /s/ John S. Koudounis John S. Koudounis Chief Executive Officer Accepted and Agreed to This 17th day of June, 2016 /s/ Nimish S. Bhatt Nimish S. Bhatt EX-10.6 9 clms-2016x06x30xex106.htm EXHIBIT 10.6 Exhibit 10.6 June 17, 2016 Via Email ([email protected]) Mr. Nimish S. Bhatt 2431 Fawn Lake Cir Naperville, IL 60564 Dear Nimish: This letter agreement (“Agreement”) outlines the terms related to your voluntary resignation of employment from Calamos Advisor LLC and its affiliates (“Company”). This Agreement, that certain side letter of even date (“
August 8, 2016	EX-10.2	EXECUTIVE EMPLOYMENT AGREEMENT EX-10.2 5 clms-2016x06x30xex102.htm EXHIBIT 10.2 Exhibit 10.2 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is entered into effective as of April 4, 2016, by and among Calamos Asset Management, Inc., a Delaware corporation (“CAM”), Calamos Advisors LLC, a Delaware limited liability company (“Advisors”) and wholly owned subsidiary of its sole managing member,
August 1, 2016	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED): March 9, 2016 Calamos Asset Management, Inc. (Exact name of Registrant as specified in its charter) Delaware 0-51003 32-0122554 (State or other jurisdiction of Incorporation)
July 28, 2016	EX-99.1	Calamos Asset Management, Inc. Reports Second Quarter 2016 Results and Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jeff Kelley SVP, Head of Marketing +1.630.577.9687 [email protected] Calamos Asset Management, Inc. Reports Second Quarter 2016 Results and Declares Dividend NAPERVILLE, Ill., July 28, 2016 ? Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Calamos Investments LLC, wit
July 28, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K 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): July 28, 2016 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of Incorporation) (Co
June 16, 2016	EX-99.1	# # # EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Calamos Investments Hires New Chief Financial Officer Thomas Herman, Previously CFO at Harris Associates and Ariel Investments, Joins the Firm Naperville, IL; June 13, 2016 Calamos Investments, global investment management firm, has appointed Thomas Herman as Chief Financial Officer effective June 30, announced John Koudounis, Calamos Chief Executive Of
June 16, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
June 8, 2016	8-K	Submission of Matters to a Vote of Security Holders 8-K 1 d198457d8k.htm 8-K 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): June 7, 2016 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other J
May 9, 2016	10-Q	Calamos Asset Management FORM 10-Q (Quarterly Report) 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: March 31, 2016 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of R
April 26, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 26, 2016	EX-99.1	Calamos Asset Management, Inc. Reports First Quarter 2016 Results and Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jeff Kelley SVP, Head of Marketing +1.630.577.9687 [email protected] Calamos Asset Management, Inc. Reports First Quarter 2016 Results and Declares Dividend NAPERVILLE, Ill., April 26, 2016 ? Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Calamos Investments LLC, wit
April 20, 2016	DEF 14A	Calamos Asset Management DEF 14A DEF 14A 1 d118670ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Us
April 7, 2016	PRE 14A	Calamos Asset Management PRE 14A PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 17, 2016	8-K/A	Calamos Asset Management 8-K/A (Current Report/Significant Event) 8-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 17, 2016	EX-16.1	RSM US LLP EX-16.1 Exhibit 16.1 RSM US LLP 1 S Wacker Drive Suite 800 Chicago, IL 60606 March 17, 2016 O +1 312 634 3400 F +1 312 634 3410 www.rsmus.com Securities and Exchange Commission Washington, D.C. 20549 Commissioners: We have read Calamos Asset Management, Inc and its subsidiaries? statements included under Item 4.01 of its Form 8-K filed on March 17, 2016 and we agree with such statements concerning
March 15, 2016	EX-99.1	# # # EXHIBIT 99.1 FOR IMMEDIATE RELEASE Contact: Jeff Kelley Senior Vice President, Head of Marketing +1 630 577 9687 [email protected] John P. Calamos, Sr. Announces the Appointment of John Koudounis as Calamos Investments? Chief Executive Officer Naperville, IL, 14 March 2016 ? John P. Calamos, Sr. announced today that he has appointed John Koudounis, 50, Chief Executive Officer of Calamos Investme
March 15, 2016	8-K	Calamos Asset Management FORM 8-K (Current Report/Significant Event) 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): March 9, 2016 Calamos Asset Management, Inc. (Exact name of Registrant as specified in its charter) Delaware 0-51003 32-0122554 (State or other jurisdiction of Incorporation) (Commiss
March 11, 2016	10-K	Calamos Asset Management FORM 10-K (Annual Report) 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2015 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact name of Reg
March 11, 2016	EX-3.(II)	THIRD AMENDED AND RESTATED CALAMOS ASSET MANAGEMENT, INC. ARTICLE I Exhibit 3(ii) Effective 3/9/16 THIRD AMENDED AND RESTATED BY-LAWS OF CALAMOS ASSET MANAGEMENT, INC.
March 11, 2016	EX-21.1	SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. Exhibit 21.1 SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. The following table lists the direct and indirect subsidiaries of Calamos Asset Management, Inc. NAME JURISDICTION OF INCORPORATION OR ORGANIZATION Calamos Investments LLC Delaware Calamos Advisors LLC Delaware Calamos Opis LLC Delaware Calamos Capital Management II LLC Delaware Calamos Financial Services LLC Delaware Calamos Internationa
February 12, 2016	SC 13G/A	Calamos Asset Management SC 13G/A (Passive Acquisition of More Than 5% of Shares) SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 10) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropri
February 11, 2016	SC 13G	CLMS / Calamos Asset Management, Inc. / Mangrove Partners Master Fund, Ltd. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 12811R104 (CUSIP Number) February 10, 2016 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant
February 9, 2016	EX-99.1	Calamos Asset Management, Inc. Reports Fourth Quarter and Full Year 2015 Results; Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin VP, Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Fourth Quarter and Full Year 2015 Results; Declares Dividend NAPERVILLE, Ill., February 9, 2016 ? Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating
February 9, 2016	8-K	Calamos Asset Management 8-K (Current Report/Significant Event) 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
January 27, 2016	8-K	Calamos Asset Management 8-K (Current Report/Significant Event) 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
January 27, 2016	EX-16.1	January 27, 2016 EX-16.1 Exhibit 16.1 January 27, 2016 Securities and Exchange Commission Washington, D.C. 20549 Commissioners: We have read Calamos Asset Management, Inc and its Subsidiaries? statements included under Item 4.01 of its Form 8-K filed on January 27, 2016 and we agree with such statements concerning our firm.
November 5, 2015	EX-10.1	Sincerely, /s/ John P. Calamos, Sr. John P. Calamos, Sr. Chairman and Chief Executive Officer Accepted and Agreed to this 9th day of September, 2015 /s/ Gary D. Black Gary D. Black GENERAL RELEASE Exhibit 10.1 September 9, 2015 Mr. Gary D. Black Calamos Asset Management, Inc. 2020 Calamos Court Naperville, IL 60563 Dear Mr. Black: This letter sets forth our agreement related to your transition of your duties and separation from the Company (for purposes of this letter agreement, “Company” shall mean Calamos Asset Management, Inc., Calamos Investments LLC, Calamos Advisors LLC and each of th
November 5, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: September 30, 2015 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Re
October 27, 2015	EX-99.1	Calamos Asset Management, Inc. Reports Third Quarter 2015 Results and Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin VP, Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Third Quarter 2015 Results and Declares Dividend NAPERVILLE, Ill., October 27, 2015 Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Ca
October 27, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): October 27, 2015 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of Incorp
September 11, 2015	EX-99.1	# # # EX-99.1 2 d181503dex991.htm EX-99.1 Exhibit 99.1 2020 Calamos Court Naperville, IL 60563 www.calamos.com News Release FOR IMMEDIATE RELEASE Contact: Jeff Kelley Jennifer McGuffin SVP, Head of Marketing VP, Director of Corporate Communications 630.577.9687 630.245.1780 [email protected] Calamos Announces Evolution of Its Investment Team Leadership; Appoints Robert Behan as President; Signs Agreemen
September 11, 2015	8-K	Calamos Asset Management FORM 8-K (Current Report/Significant Event) Form 8-K 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 9, 2015 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of Incorporation)
August 6, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Registr
July 28, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): July 28, 2015 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of Incorpora
July 28, 2015	EX-99.1	Calamos Asset Management, Inc. Reports Second Quarter 2015 Results and Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin VP, Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Second Quarter 2015 Results and Declares Dividend NAPERVILLE, Ill., July 28, 2015 ? Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Cala
June 4, 2015	8-K	Calamos Asset Management FORM 8-K (Current Report/Significant Event) Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 11, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: March 31, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Regist
April 30, 2015	8-K	Calamos Asset Management 8-K (Current Report/Significant Event) 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 30, 2015	EX-99.1	Calamos Asset Management, Inc. Reports First Quarter 2015 Results and Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin VP, Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports First Quarter 2015 Results and Declares Dividend NAPERVILLE, Ill., April 30, 2015 ? Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Cala
April 14, 2015	DEF 14A	Calamos Asset Management DEF 14A DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 13, 2015	EX-21.1	SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. Exhibit 21.1 SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. The following table lists the direct and indirect subsidiaries of Calamos Asset Management, Inc. NAME JURISDICTION OF INCORPORATION OR ORGANIZATION Calamos Investments LLC Delaware Calamos Advisors LLC Delaware Calamos Opis LLC Delaware Calamos Capital Management LLC Delaware Calamos Financial Services LLC Delaware Calamos International H
March 13, 2015	EX-10.4	AMENDMENT NO. 1 TO THE EXECUTIVE EMPLOYMENT AGREEMENT OF GARY D. BLACK Exhibit 10.4 AMENDMENT NO. 1 TO THE EXECUTIVE EMPLOYMENT AGREEMENT OF GARY D. BLACK AMENDMENT NO. 1, entered into this 8th day of October, 2014 (?Amendment No. 1?), to the Executive Employment Agreement of Gary D. Black dated as of August 31, 2012 (?Agreement?), by and between Calamos Advisors LLC., a Delaware limited liability company (?Advisors?(together with its successors and assigns permitted
March 13, 2015	EX-10.8	CALAMOS ASSET MANAGEMENT, INC. Non-Employee Directors Equity Award Statement for: EX-10.8 4 clms-2014x12x31xex108.htm MATERIAL AGREEMENT Exhibit 10.8 CALAMOS ASSET MANAGEMENT, INC. Non-Employee Directors Equity Award Statement for: Congratulations! The following summarizes your Calamos Equity Award: RESTRICTED STOCK UNITS (“RSUs”) Total number of RSUs granted: Grant value: VESTING SCHEDULE Grant date Vesting Schedule A portion of your Restricted Stock Units vest on each of the
March 13, 2015	EX-10.7	CALAMOS ASSET MANAGEMENT, INC. Equity Award Statement for: Exhibit 10.7 CALAMOS ASSET MANAGEMENT, INC. Equity Award Statement for: Congratulations! The following summarizes your Calamos Equity Award: RESTRICTED STOCK UNITS (?RSUs?) Total number of RSUs granted: Grant value: VESTING SCHEDULE Grant date Vesting Schedule A portion of your RSUs vest on each of the following dates: 25% on DATE* 25% on DATE* 50% on DATE* *Subject to earlier vesting per the acco
March 13, 2015	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2014 [ ] TRANSITION REPORT PURSUANT TO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2014 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact name of Registra
February 12, 2015	EX-99.1	JOINT FILING AGREEMENT EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G, dated February 11, 2005 (“Statement”), with respect to the Class A Common Stock, par value $0.01 per share, of Calamos Asset Management, Inc. is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Ru
February 12, 2015	SC 13G/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC 13G/A Passive Investment SC 13G/A 1 d871465dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 9) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this
January 27, 2015	EX-99.1	Calamos Asset Management, Inc. Reports Fourth Quarter and Full Year 2014 Results; Declares Dividend EX-99.1 Exhibit 99.1 Contact: Jennifer McGuffin VP, Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Fourth Quarter and Full Year 2014 Results; Declares Dividend NAPERVILLE, Ill., January 27, 2015 – Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Calamos Inve
January 27, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 13, 2014	8-K	Financial Statements and Exhibits, Other Events 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 13, 2014	EX-99.1	# # # EX-99.1 Exhibit 99.1 2020 Calamos Court Naperville, IL 60563-2787 www.calamos.com FOR IMMEDIATE RELEASE News Release Contact: Jennifer McGuffin Vice President, Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Announces Share Repurchase Program Naperville, IL; November 13, 2014 – Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the pub
November 6, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: September 30, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Re
October 23, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d809709d8k.htm 8-K 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): October 23, 2014 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Oth
October 23, 2014	EX-99.1	Calamos Asset Management, Inc. Reports Third Quarter 2014 Results and Declares Dividend EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Third Quarter 2014 Results and Declares Dividend NAPERVILLE, Ill., October 23, 2014 – Calamos Asset Management, Inc. (NASDAQ: CLMS), representing the public shares outstanding, owns 22.2% of the operating company, Calamo
August 6, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Registr
July 29, 2014	EX-99.1	Calamos Asset Management, Inc. Reports Second Quarter 2014 Results and Increases Dividend By 20 Percent Exhibit 99.1 FOR IMMEDIATE RELEASE News Release Contact: Jennifer McGuffin Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Second Quarter 2014 Results and Increases Dividend By 20 Percent NAPERVILLE, Ill., July 29, 2014 – Calamos Asset Management, Inc. (NASDAQ: CLMS), a diversified global investment firm offering equity, fixed income, c
July 29, 2014	8-K	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): July 29, 2014 Calamos Asset Manag Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
June 5, 2014	EX-10.1	[As adopted 10/26/04 and amended 05/22/09 and 06/03/14] CALAMOS ASSET MANAGEMENT, INC. INCENTIVE COMPENSATION PLAN (As amended June 3, 2014) Table of Contents Page 1. PURPOSE OF PLAN 1 2. TERM OF PLAN 1 3. STOCKHOLDER APPROVAL 1 4. ADMINISTRATION 2 5 EX-10.1 EXHIBIT 10-1 [As adopted 10/26/04 and amended 05/22/09 and 06/03/14] CALAMOS ASSET MANAGEMENT, INC. INCENTIVE COMPENSATION PLAN (As amended June 3, 2014) Table of Contents Page 1. PURPOSE OF PLAN 1 2. TERM OF PLAN 1 3. STOCKHOLDER APPROVAL 1 4. ADMINISTRATION 2 5. ELIGIBILITY AND PARTICIPATION 4 6. SHARES SUBJECT TO PLAN 4 7. MAXIMUM INDIVIDUAL AWARDS 6 8. AWARDS 6 9. CHANGE IN CONTROL 8 1
June 5, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 6, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: March 31, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Regist
April 24, 2014	EX-99.1	Calamos Asset Management, Inc. Reports First Quarter 2014 Results and Declares Dividend EX-99.1 Exhibit 99.1 2020 Calamos Court Naperville, IL 60563-2787 www.calamos.com FOR IMMEDIATE RELEASE News Release Contact: Jennifer McGuffin Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports First Quarter 2014 Results and Declares Dividend NAPERVILLE, Ill., April 24, 2014 – Calamos Asset Management, Inc. (NASDAQ: CLMS), a diversified g
April 24, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 14, 2014	DEF 14A	- DEF 14A DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 14, 2014	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2013 [ ] TRANSITION REPORT PURSUANT TO 10-K 1 clms-2013x12x31x10k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2013 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-51003 CALAMOS ASSET MANA
March 14, 2014	EX-21.1	SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. Exhibit 21.1 SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. The following table lists the direct and indirect subsidiaries of Calamos Asset Management, Inc. NAME JURISDICTION OF INCORPORATION OR ORGANIZATION Calamos Investments LLC Delaware Calamos Advisors LLC Delaware Calamos Opis LLC Delaware Calamos Capital Management LLC Delaware Calamos Financial Services LLC Delaware Calamos International H
March 13, 2014	CORRESP	- CORRESP March 13, 2014 Securities and Exchange Commission Washington, DC 20549 Attn: Stephanie J.
February 11, 2014	SC 13G/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 8) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropria
February 11, 2014	EX-99.1	JOINT FILING AGREEMENT EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G, dated February 11, 2005 (“Statement”), with respect to the Class A Common Stock, par value $0.01 per share, of Calamos Asset Management, Inc. is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Ru
February 11, 2014	SC 13G/A	CLMS / Calamos Asset Management, Inc. / VANGUARD GROUP INC Passive Investment calamosassetmgmt.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2 )* Name of issuer: Calamos Asset Management Inc Title of Class of Securities: Common Stock CUSIP Number: 12811R104 Date of Event Which Requires Filing of this Statement: December 31, 2013 Check the approp
January 28, 2014	EX-99.1	Calamos Asset Management, Inc. Reports Fourth Quarter and Full Year 2013 Results; Declares Dividend EX-99.1 Exhibit 99.1 Contact: Jennifer McGuffin Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Fourth Quarter and Full Year 2013 Results; Declares Dividend NAPERVILLE, Ill., January 28, 2014 – Calamos Asset Management, Inc. (NASDAQ: CLMS), a diversified global investment firm offering equity, lower-volatility equity, fixed income, conv
January 28, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
January 24, 2014	CORRESP	- CORRESP January 24, 2014 Securities and Exchange Commission Washington, DC 20549 Attn: Stephanie J.
January 9, 2014	CORRESP	- Corresp January 9, 2014 Ms. Angela Connell Mr. Jim Dunn 100 F Street, N.E. U.S. Securities and Exchange Commission Washington, D.C. 20549 RE: Calamos Asset Management, Inc. Form 10-K for Fiscal Year Ended December 31, 2012 Filed March 14, 2013 File No. 000-51003 Dear Ms. Connell and Mr. Dunn: Thank you for your time and guidance on our teleconference yesterday. Per our conversation, Calamos Asset
December 4, 2013	EX-10.1	SEPARATION, RELEASE AND NONCOMPETITION AGREEMENT EX-10.1 2 d639085dex101.htm EX-10.1 Exhibit 10.1 SEPARATION, RELEASE AND NONCOMPETITION AGREEMENT THIS SEPARATION, RELEASE AND NONCOMPETITION AGREEMENT (the “Agreement”) is entered into as of November 27, 2013, by and among Calamos Asset Management, Inc., a Delaware corporation (“CAM”), Calamos Advisors LLC, a Delaware limited liability company (“Advisors”) and wholly owned subsidiary of its sole
December 4, 2013	EX-99.1	Calamos Announces Board Change and Intent to Form Calamos Partners EX-99.1 3 d639085dex991.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1 630 245 1780 [email protected] Calamos Announces Board Change and Intent to Form Calamos Partners Naperville, IL; December 4, 2013 – Calamos Asset Management, Inc. (NASDAQ: CLMS), a global investment firm, today announced that Nick Calamos is leaving the Calamos
December 4, 2013	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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): November 27, 2013 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction of I
November 4, 2013	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: September 30, 2013 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Re
November 4, 2013	EX-10.1	GENERAL RELEASE Exhibit 10.1 August 29, 2013 Mr. James J. Boyne Calamos Asset Management, Inc. 2020 Calamos Court Naperville, IL 60563 Dear Mr. Boyne: This letter agreement outlines the terms and conditions related to the termination of your employment from the Company (for purposes of this letter agreement, “Company” shall mean Calamos Asset Management, Inc., Calamos Investments LLC, Calamos Advisors LLC and eac
October 22, 2013	EX-99.1	Calamos Asset Management, Inc. Reports Third Quarter 2013 Results and Declares Dividend Exhibit 99.1 Contact: Jennifer McGuffin Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Third Quarter 2013 Results and Declares Dividend NAPERVILLE, Ill., October 22, 2013 – Calamos Asset Management, Inc. (NASDAQ: CLMS), a diversified global investment firm offering equity, lower-volatility equity, fixed income, convertible and alternat
October 22, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 29, 2013	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 29, 2013	EX-99.1	# # # EX-99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1 630 245 1780 [email protected] Calamos Investments Announces Planned Departure of Chief Operating Officer Naperville, IL, August 29, 2013 – Calamos Investments®*, a global investment management firm, announced the planned departure of James Boyne, President and Chief Operating Officer, effective Septem
August 7, 2013	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2013 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Registr
August 6, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 8-k Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 6, 2013	EX-99.1	Calamos Asset Management, Inc. Reports Second Quarter 2013 Results and Declares Dividend EX-99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1.630.245.1780 [email protected] Calamos Asset Management, Inc. Reports Second Quarter 2013 Results and Declares Dividend NAPERVILLE, Ill., August 6, 2013 – Calamos Asset Management, Inc. (NASDAQ: CLMS), a diversified global investment firm offering equity, lower-volatility equity, fixed income, converti
July 15, 2013	SC 13D/A	CLMS / Calamos Asset Management, Inc. / Alpine Investment Management, LLC - AMENDMENT NO. 2 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number)
June 6, 2013	8-K	Other Events, Submission of Matters to a Vote of Security Holders - FORM 8-K Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 8, 2013	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 form10-q.htm FORM 10-Q Q1 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: March 31, 2013 or £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET
May 7, 2013	EX-99.1	Calamos Asset Management, Inc. Reports First Quarter 2013 Results and Declares Dividend FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1.
May 7, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K 5-7-13 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): May 7, 2013 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.
April 16, 2013	DEF 14A	- DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 14, 2013	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2012 [ ] TRANSITION REPORT PURSUANT TO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2012 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact name of Registra
March 14, 2013	EX-10.7	GENERAL RELEASE Exhibit 10.7 February 26, 2013 Mr. Randall T. Zipfel [Address] Dear Mr. Zipfel: This letter agreement outlines the terms and conditions related to the termination of your employment from Calamos Advisors LLC (“Company”). The receipt of any severance and special payments, the payment of the employer portion of COBRA premiums and the payment of career transition services as described below are conti
March 14, 2013	EX-21.1	SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. Exhibit 21.1 SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. The following table lists the direct and indirect subsidiaries of Calamos Asset Management, Inc. NAME JURISDICTION OF INCORPORATION OR ORGANIZATION Calamos Investments LLC Delaware Calamos Advisors LLC Delaware Calamos Capital Management LLC Delaware Calamos Financial Services LLC Delaware Calamos International Holdings LLC Delaware Calam
February 20, 2013	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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): February 13, 2013 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction (Commission File Number) (
February 14, 2013	SC 13G/A	CLMS / Calamos Asset Management, Inc. / CALAMOS JOHN P SR - SCHEDULE 13-G/A 2-14-13 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 7) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to
February 14, 2013	EX-99.1	JOINT FILING AGREEMENT EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G, dated February 11, 2005 (“Statement”), with respect to the Class A Common Stock, par value $0.01 per share, of Calamos Asset Management, Inc. is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1
February 11, 2013	SC 13G/A	CLMS / Calamos Asset Management, Inc. / VANGUARD GROUP INC Passive Investment SC 13G/A 1 calamosassetmanagementinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Calamos Asset Management Inc Title of Class of Securities: Common Stock CUSIP Number: 12811R104 Date of Event Which Requires Filing of this Statement: December 31, 2012 Check the appropriate box to designate t
February 4, 2013	EX-99.1	Calamos Asset Management, Inc. Reports Fourth Quarter and Full Year 2012 Results; Declares Dividend; Announces Share Repurchase Program FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1.
February 4, 2013	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events - FORM 8-K 2-4-13 (ER, A. KNIGHT RETIRE, BUYBACK, J. BOYNE PROMOTION) 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): January 30, 2013 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
February 4, 2013	EX-99.2	# # # FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1 630 245 1780 media@calamos.
January 15, 2013	SC 13G/A	CLMS / Calamos Asset Management, Inc. / JPMORGAN CHASE & CO - CALAMOS ASSET MANGEMENT, INC SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) ( AMENDMENT 1) Calamos Asset Mangement, Inc.
November 7, 2012	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: September 30, 2012 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Re
November 6, 2012	EX-99.2	# # # FOR IMMEDIATE RELEASE Contact: Director of Corporate Communications Jennifer McGuffin +1 630 245 1780 media@calamos.
November 6, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K 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): November 1, 2012 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
November 6, 2012	EX-10.1	EXECUTIVE EMPLOYMENT AGREEMENT Execution Version EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of August 31, 2012 (the “Effective Date”), by and between Calamos Advisors, LLC, a Delaware limited liability company (“Advisors”) (together with its successors and assigns permitted under this Agreement, shall be referred herein as the “Company”), and Gary D.
November 6, 2012	EX-99.1	Calamos Asset Management, Inc. Reports Third Quarter 2012 Results and Declares Dividend FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1.
August 28, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 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): August 22, 2012 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.
August 28, 2012	EX-99.1	# # # EX-99.1 2 pressrelease.htm FOR IMMEDIATE RELEASE Contact: Director of Corporate Communications Jennifer McGuffin +1 630 245 1780 [email protected] Calamos Asset Management, Inc. Appoints Two Additional Independent Directors Naperville, IL, August 28, 2012 – The Calamos Asset Management, Inc. (NASDAQ: CLMS) Board of Directors announces the appointment of Mr. Keith (Kim) Schappert and Mr. William (B
August 27, 2012	EX-10.1	AMENDMENT NO. 2 TO THE EXECUTIVE EMPLOYMENT AGREEMENT OF NICK P. CALAMOS AMENDMENT NO. 2 TO THE EXECUTIVE EMPLOYMENT AGREEMENT OF NICK P. CALAMOS THIS AMENDMENT NO. 2 (“Amendment No. 2”) to the Executive Employment Agreement of Nick P. Calamos dated as of October 26, 2004, as amended (“Agreement”) is entered into as of August 21, 2012 (“Date of Amendment No. 2”), by and among Calamos Asset Management, Inc., a Delaware Corporation, Calamos Advisors LLC., a Delaware Limi
August 27, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 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): August 21, 2012 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.
August 27, 2012	EX-99.1	Calamos Expands Investment Team FOR IMMEDIATE RELEASE Contact: Media Relations Jennifer McGuffin +1 630 245 1780 media@calamos.
August 23, 2012	EX-99.1	1 Exhibit 99.1 August 23, 2012 Mr. Tom Eggers Lead Independent Director Calamos Asset Management, Inc. 2020 Calamos Court Naperville, IL 60563-2787 Dear Mr. Eggers: Alpine Investment Management LLC’s (d/b/a Alpine Capital Research (ACR)) clients are now beneficial holders of approximately 1,244,993 shares of Calamos Asset Management, Inc. (NASDAQ:CLMS) (“Calamos” the “Company” or “CLMS”), or approxi
August 23, 2012	SC 13D/A	CLMS / Calamos Asset Management, Inc. / Alpine Investment Management, LLC - SCHEDULE 13D/A Activist Investment SC 13D/A 1 sc13da10866700208212012.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (
August 3, 2012	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2012 or £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Registr
August 2, 2012	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 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): August 2, 2012 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
August 2, 2012	EX-99.1	# # # EX-99.1 2 pressrelease.htm FOR IMMEDIATE RELEASE Contact: Director of Corporate Communications Jennifer McGuffin +1 630 245 1780 [email protected] Calamos Asset Management, Inc. Board Appoints Tom Eggers as Lead Independent Director Naperville, IL, 2 August 2012 – The Calamos Asset Management, Inc. (CAM) Board today appointed current board member Mr. Tom Eggers to serve as Lead Independent Directo
August 2, 2012	8-K	Financial Statements and Exhibits, Other Events - 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): August 2, 2012 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
August 2, 2012	EX-99.1	Calamos Asset Management, Inc. Reports Second Quarter 2012 Results and Increases Dividend By 16 Percent FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Corporate Communications +1.
July 27, 2012	SC 13D	CLMS / Calamos Asset Management, Inc. / Alpine Investment Management, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number)
July 27, 2012	EX-99.2	JOINT FILING AGREEMENT EX-99.2 3 ex992to13d0866700207172012.htm JOINT FILING AGREEMENT Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Class A Common Stock,
July 27, 2012	EX-99.1	ACR Alpine Capital Research EX-99.1 2 ex991to13d0866700207172012.htm LETTER TO THE BOARD Exhibit 99.1 ACR Alpine Capital Research 8000 Maryland Ave, Suite 700 St. Louis, MO 63105 July 27, 2012 Board of Directors Calamos Asset Management, Inc. 2020 Calamos Court Naperville, IL 60563-2787 Dear Board Members: Alpine Investment Management LLC (d/b/a Alpine Capital Research (ACR)) is a registered investment advisor based out of S
June 4, 2012	8-K	Submission of Matters to a Vote of Security Holders - 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): June 1, 2012 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
May 9, 2012	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: March 31, 2012 or £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Regist
May 7, 2012	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 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): May 7, 2012 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.
May 7, 2012	EX-99.1	Calamos Asset Management, Inc. Reports First Quarter 2012 Results and Declares Dividend FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Investor Relations +1.
April 17, 2012	DEF 14A	- DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 12, 2012	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2011 [ ] TRANSITION REPORT PURSUANT TO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2011 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact name of Registra
March 12, 2012	EX-21.1	SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. Exhibit 21.1 SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. The following table lists the direct and indirect subsidiaries of Calamos Asset Management, Inc. NAME JURISDICTION OF INCORPORATION OR ORGANIZATION Calamos Investments LLC Delaware Calamos Advisors LLC Delaware Calamos Financial Services LLC Delaware Calamos International Holdings LLC Delaware Calamos International Holdings II LLC Delawar
March 2, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K 022812 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): February 28, 2012 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction (Commission File Number) (
February 9, 2012	SC 13G	CLMS / Calamos Asset Management, Inc. / VANGUARD GROUP INC Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.:0 )* Name of issuer: Calamos Asset Management Inc Title of Class of Securities: Common Stock CUSIP Number: 12811R104 Date of Event Which Requires Filing of this Statement: December 31, 2011 Check the appropriate box to designate the rule pursuant to which this Schedule is
February 9, 2012	SC 13G/A	CLMS / Calamos Asset Management, Inc. / Calamos Family Partners, Inc. - SCHEDULE 13-G AMENDMENT 6 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 6) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to
February 9, 2012	EX-99.1	JOINT FILING AGREEMENT EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G, dated February 11, 2005 (“Statement”), with respect to the Class A Common Stock, par value $0.01 per share, of Calamos Asset Management, Inc. is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1
February 6, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 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): January 31, 2012 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
February 2, 2012	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 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): February 2, 2012 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
February 2, 2012	EX-99.1	Calamos Asset Management, Inc. Reports Fourth Quarter 2011 Results and Declares Dividend FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Investor Relations +1.
January 17, 2012	SC 13G	CLMS / Calamos Asset Management, Inc. / JPMORGAN CHASE & CO - CALAMOS ASSET MANAGEMENT, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) Calamos Asset Mangement, Inc.
November 8, 2011	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: September 30, 2011 or £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Re
November 3, 2011	EX-99.1	Calamos Asset Management, Inc. Reports Third Quarter 2011 Results and Declares Dividend FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Investor Relations +1.
November 3, 2011	8-K	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): November 3, 2011 Calamos Asset Ma 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): November 3, 2011 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
August 8, 2011	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2011 or £ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exact Name of Registr
August 2, 2011	EX-99.1	Calamos Asset Management, Inc. Reports Second Quarter 2011 Results and Declares Dividend FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Director of Investor Relations +1 630 245 1780 jmcguffin@calamos.
August 2, 2011	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 2, 2011 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
July 26, 2011	8-K	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): July 21, 2011 Calamos Asset Manag 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): July 21, 2011 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.
June 21, 2011	CORRESP	Calamos Investments® Calamos Asset Management, Inc. 2020 Calamos Court Naperville, IL 60563-2787 630.245.7200 800.323.9943 www.calamos.com corresp Calamos Investments® Calamos Asset Management, Inc. 2020 Calamos Court Naperville, IL 60563-2787 630.245.7200 800.323.9943 www.calamos.com June 21, 2011 United States Securities and Exchange Commission Attention: Daniel L. Gordon 100 F Street, NE Washington, D.C. 20549-7010 RE: Calamos Asset Management, Inc. Form 10-K for the Fiscal Year Ended December 31, 2010 File No. 000-51003 Dear Mr.
June 14, 2011	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. ) 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 o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin
May 10, 2011	EX-10.2	RE: Transition Agreement Exhibit 10.2 March 1, 2011 Ms. Cristina Wasiak [Street] [City, State, Zip Code] RE: Transition Agreement Dear Ms. Wasiak: Whereas you and Calamos Advisors LLC (the Company) agree that it is in our mutual interest to have an orderly transition of your responsibilities and separation of your employment from the Company, this Transition Agreement outlines the terms and conditions related to such tran
May 10, 2011	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 28, 2011	8-K	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): April 28, 2011 Calamos Asset Mana e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 28, 2011	EX-99.1	Calamos Asset Management, Inc. Reports First Quarter 2011 Results and Declares Dividend exv99w1 Exhibit 99.1 Contact: Jennifer McGuffin Director of Investor Relations +1 630 245 1780 [email protected] Calamos Asset Management, Inc. Reports First Quarter 2011 Results and Declares Dividend NAPERVILLE, Ill., April 28, 2011 — Calamos Asset Management, Inc. (NASDAQ: CLMS), a diversified global investment firm offering equity, fixed income, convertible and alternative strategies, today
April 26, 2011	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A (Amendment No. 1) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 e10vkza Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 7, 2011	8-K	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): March 1, 2011 Calamos Asset Manag e8vk 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): March 1, 2011 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware (State or Other Jurisdiction of Incorporation) 0-51003 (Commission File N
March 7, 2011	EX-99.1	Calamos Asset Management, Inc. Announces Planned Departure of Chief Financial Officer Exhibit 99.1 Contact: Jennifer McGuffin Investor Relations 630-245-1780 [email protected] Calamos Asset Management, Inc. Announces Planned Departure of Chief Financial Officer NAPERVILLE, Ill., March 7, 2011 — Calamos Asset Management, Inc. (NASDAQ: CLMS) announced today the planned departure of Cristina Wasiak, Senior Vice President and Chief Financial Officer, effective April 30, 2011. Calamos said
March 4, 2011	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2010 or o TRANSITION REPORT PURSUANT TO S Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2010 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-51003 Calamos Asset Management, Inc. (Exact na
March 4, 2011	EX-21.1	SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. The following table lists the direct and indirect subsidiaries of Calamos Asset Management, Inc. JURISDICTION OF INCORPORATION OR NAME ORGANIZATION Calamos Holdings LLC Delaware Calamos Advisors LLC Dela exv21w1 Exhibit 21.1 SUBSIDIARIES OF CALAMOS ASSET MANAGEMENT, INC. The following table lists the direct and indirect subsidiaries of Calamos Asset Management, Inc. JURISDICTION OF INCORPORATION OR NAME ORGANIZATION Calamos Holdings LLC Delaware Calamos Advisors LLC Delaware Calamos Financial Services LLC Delaware Calamos International Holdings LLC Delaware Calamos International Holdings II LLC De
February 11, 2011	EX-99.1	JOINT FILING AGREEMENT exv99w1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G, dated February 11, 2005 (“Statement”), with respect to the Class A Common Stock, par value $0.01 per share, of Calamos Asset Management, Inc. is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Ru
February 11, 2011	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 5) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title o sc13gza UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* Under the Securities Exchange Act of 1934 (Amendment No. 5) Calamos Asset Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 12811R104 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriat
February 10, 2011	SC 13G/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.:1 )* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.:1 )* Name of issuer: CALAMOS ASSET MANAGEMENT INC Title of Class of Securities: COMMON STOCK CUSIP Number: 12811R104 Date of Event Which Requires Filing of this Statement: December 31, 2010 Check the appropriate box to designate the rule pursuant to which this Schedule is
February 3, 2011	8-K	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): February 3, 2011 Calamos Asset Ma e8vk 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): February 3, 2011 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction (Commission File Numbe
February 3, 2011	EX-99.1	Calamos Asset Management, Inc. Reports Fourth Quarter 2010 Results and Increases Dividend Exhibit 99.1 2020 Calamos Court Naperville, IL 60563-2787 www.calamos.com News Release FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Calamos Asset Management, Inc. Director of Investor Relations 630.245.1780 Cell 630.276.6236 [email protected] Calamos Asset Management, Inc. Reports Fourth Quarter 2010 Results and Increases Dividend NAPERVILLE, Ill., February 3, 2011 — Calamos Asset Manageme
December 27, 2010	EX-99.1	# # # exv99w1 Exhibit 99.1 2020 Calamus Court Naperville, IL 60563-2787 www.calamos.com News Release FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin, Public Relations Manager Calamos Advisors LLC Direct: 630.245.1780 Cell: 630.276.6236 Fax: 630.245.6840 [email protected] Calamos Investments Statement on ARPS Lawsuit for Convertible and High Income Fund (NYSE: CHY) Naperville, Illinois, December 27,
December 27, 2010	8-K	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): December 27, 2010 Calamos Asset M e8vk 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): December 27, 2010 Calamos Asset Management, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-51003 32-0122554 (State or Other Jurisdiction (Commission File Numb
November 4, 2010	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
October 26, 2010	EX-99.1	Calamos Asset Management, Inc. Reports Third Quarter 2010 Results and Declares Dividend Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Investor Relations 630-245-1780 [email protected] Calamos Asset Management, Inc. Reports Third Quarter 2010 Results and Declares Dividend NAPERVILLE, Ill., October 26, 2010 — Calamos Asset Management, Inc. (NASDAQ: CLMS) today reported third quarter 2010 results, including revenues of $78.4 million and operating income of $30.6 million. In
October 26, 2010	8-K	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): October 26, 2010 Calamos Asset Ma e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
October 7, 2010	EX-99.1	# # # exv99w1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin, Public Relations Manager Calamos Advisors LLC Direct: 630.245.1780 Cell: 630.328.3566 Fax: 630.245.6840 [email protected] Calamos Closed-End Funds’ Boards of Trustees Refuse ARPS Demand Letters Naperville, Illinois, October 6, 2010 — The Boards of Trustees for each of the Calamos Convertible Opportunities and Income Fund (N
October 7, 2010	8-K	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): October 6, 2010 Calamos Asset Man e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
September 16, 2010	EX-99.1	# # # exv99w1 Exhibit 99.1 2020 Calamos Court Naperville, IL 60563-2787 www.calamos.com News Release FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin, Public Relations Manager Calamos Advisors LLC Direct: 630.245.1780 Cell: 630.328.3566 Fax: 630.245.6840 [email protected] Calamos Investments Statement on ARPS lawsuit for Convertible Opportunities and Income Fund (NYSE: CHI) Naperville, Illinois, Sep
September 16, 2010	8-K	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 15, 2010 Calamos Asset e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
September 15, 2010	8-K	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 e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
September 15, 2010	EX-99.1	# # # exv99w1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin, Public Relations Manager Calamos Advisors LLC Direct: 630.245.1780 Cell: 630.328.3566 Fax: 630.245.6840 [email protected] 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
August 18, 2010	8-K	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): August 17, 2010 Calamos Asset Man e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 18, 2010	EX-99.1	# # # Exhibit 99.1 2020 Calamos Court Naperville, IL 60563-2787 www.calamos.com News Release FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin, Public Relations Manager Calamos Advisors LLC Direct: 630.245.1780 Cell: 630.328.3566 Fax: 630.245.6840 [email protected] Calamos Investments Statement on ARPS Lawsuit for Convertible and High Income Fund (NYSE: CHY) Naperville, Illinois, August 16, 2010 — Ca
August 5, 2010	EX-99.1	Calamos Asset Management, Inc. Reports Second Quarter 2010 Results and Declares Dividend exv99w1 Exhibit 99.1 2020 Calamos Court Naperville, IL 60563-2787 www.calamos.com News Release FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Investor Relations 630-245-1780 [email protected] Calamos Asset Management, Inc. Reports Second Quarter 2010 Results and Declares Dividend NAPERVILLE, Ill., August 5, 2010 — Calamos Asset Management, Inc. (NASDAQ: CLMS) today reported second quarter 2010 resu
August 5, 2010	8-K	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): August 5, 2010 Calamos Asset Mana e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 5, 2010	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2010 o TRANSITION REPORT PURSUANT TO Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED: June 30, 2010 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51003 CALAMOS ASSET MANAGEMENT, INC. (Exa
July 23, 2010	EX-99.1	# # # Exhibit 99.1 2020 Calamos Court Naperville, IL 60563-2787 www.calamos.com News Release FOR IMMEDIATE RELEASE Contact: Jennifer McGuffin Calamos Advisors LLC Direct: 630.245.1780 Fax : 630.245.6840 [email protected] Calamos Investments Statement on ARPS Demand Letters and Lawsuit Naperville, Illinois, July 23, 2010 — Calamos Investments announced that each of Calamos Convertible Opportunities a
July 23, 2010	8-K	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): July 23, 2010 Calamos Asset Manag e8vk 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): July 23, 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)
June 4, 2010	8-K	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): June 4, 2010 Calamos Asset Manage e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

CLMS / Calamos Asset Management, Inc. - SEC Filings, Annual Report, Proxy Statement

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