CALAMOS ASSET MANAGEMENT, INC. /DE/ Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 65 rows, 65 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-09-15: Reporting owner Behan Robert; Form 3; Security Stock Options; Transaction Holding.
- 2011-05-17: Reporting owner BHATT NIMISH S; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2011-05-17: Reporting owner BHATT NIMISH S; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2011-05-17: Reporting owner BHATT NIMISH S; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-09-15 holding as of filing | Behan Robert Officer (Pres., Head of Global Distrib.) | 3 | Stock Options Derivative · Direct | Holding | $19.79 exercise price | 2015-09-15 | ||
| 2011-05-17 holding as of filing | BHATT NIMISH S Officer (SVP, Interim CFO & Dir. of Ops) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $18.00 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | BHATT NIMISH S Officer (SVP, Interim CFO & Dir. of Ops) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $17.80 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | BHATT NIMISH S Officer (SVP, Interim CFO & Dir. of Ops) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $17.80 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | BHATT NIMISH S Officer (SVP, Interim CFO & Dir. of Ops) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $19.79 exercise price | 2011-05-17 | ||
| 2009-07-23 | Calamos Asset Management, Inc. /DE/ Other (Itself) | 4/A | Stock Options (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −0 0 owned after | no price filed | 2009-07-27 | |
| 2009-07-23 | Calamos Asset Management, Inc. /DE/ Other (Itself) | 4/A | Stock Options (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 0 owned after | no price filed | 2009-07-27 | |
| 2009-07-23 | Zipfel Randall T. Officer (Sr.VP & COO - Investments & IT) | 4 | Stock Options (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,200 0 owned after | $27.58 exercise price | 2009-07-24 | |
| 2009-07-23 | Zipfel Randall T. Officer (Sr.VP & COO - Investments & IT) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,847 7,847 owned after | $17.80 exercise price | 2009-07-24 | |
| 2009-07-23 | Calamos Asset Management, Inc. /DE/ Officer (Sr. VP & COO - Investment & IT) | 4 | Stock Options (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,200 0 owned after | $27.58 exercise price | 2009-07-24 | |
| 2009-07-23 | Calamos Asset Management, Inc. /DE/ Officer (Sr. VP & COO - Investment & IT) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,847 7,847 owned after | $17.80 exercise price | 2009-07-24 | |
| 2009-07-23 | BHATT NIMISH S Officer (SVP and Director of Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,400 0 owned after | $35.43 exercise price | 2009-07-24 | |
| 2009-07-23 | BHATT NIMISH S Officer (SVP and Director of Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,375 3,375 owned after | $17.80 exercise price | 2009-07-24 | |
| 2009-07-23 | BHATT NIMISH S Officer (SVP and Director of Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,958 0 owned after | $27.58 exercise price | 2009-07-24 | |
| 2009-07-23 | BHATT NIMISH S Officer (SVP and Director of Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,507 11,507 owned after | $17.80 exercise price | 2009-07-24 | |
| 2009-07-23 | Baka James F Officer (EVP - Wealth Management) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,775 0 owned after | $28.76 exercise price | 2009-07-24 | |
| 2009-07-23 | Baka James F Officer (EVP - Wealth Management) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,125 4,125 owned after | $17.80 exercise price | 2009-07-24 | |
| 2009-07-23 | Baka James F Officer (EVP - Wealth Management) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,236 0 owned after | $35.43 exercise price | 2009-07-24 | |
| 2009-07-23 | Baka James F Officer (EVP - Wealth Management) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,648 2,648 owned after | $17.80 exercise price | 2009-07-24 | |
| 2009-07-23 | Baka James F Officer (EVP - Wealth Management) | 4 | Stock Options (Righ to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,195 0 owned after | $27.58 exercise price | 2009-07-24 | |
| 2009-07-23 | Baka James F Officer (EVP - Wealth Management) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,920 20,920 owned after | $17.80 exercise price | 2009-07-24 | |
| 2009-02-05 holding as of filing | Zipfel Randall T. Officer (Sr. VP & COO - Investment & IT) | 3 | Stock Options (Right to Buy) Derivative · Direct | Holding | $27.58 exercise price | 2009-02-05 | ||
| 2009-02-05 holding as of filing | Zipfel Randall T. Officer (Sr. VP & COO - Investment & IT) | 3 | Stock Options (Right to Buy) Derivative · Direct | Holding | $19.79 exercise price | 2009-02-05 | ||
| 2008-05-06 | Boyne James J Officer (SVP, genl counsel, secretary) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,285 18,285 owned after | $20.51 exercise price | 2008-05-07 | |
| 2008-04-23 holding as of filing | Felsten Gary J Officer (SVP, director human resources) | 3 | Stock Options (Right to Buy) Derivative · Direct | Holding | $19.79 exercise price | 2008-04-23 | ||
| 2008-02-15 | Knight Arthur L Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,066 6,066 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | FEIGER MITCHELL Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,066 6,066 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | Gilbert Richard W Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,066 6,066 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | Bulkley G Bradford Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,066 6,066 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | Calamos Family Partners, Inc. | CALAMOS JOHN P SR 10% Owner | Director, Officer (chairman, CEO and Co-CIO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +174,030 174,030 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | CALAMOS NICK P Director, Officer (SEVP and Co-CIO) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,669 120,669 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | Kunimura Robert M Officer (SVP, chief technology officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,856 14,856 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | BHATT NIMISH S Officer (SVP, director of operations) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,785 19,785 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | Jones Scott C Officer (EVP, chief administrative ofcr) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,428 7,428 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | Baka James F Officer (EVP) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,214 32,214 owned after | $19.79 exercise price | 2008-02-19 | |
| 2008-02-15 | Moriarty Philip E Officer (EVP) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +51,543 51,543 owned after | $19.79 exercise price | 2008-02-19 | |
| 2007-02-15 | CALAMOS JOHN P SR | Calamos Family Partners, Inc. Director, Officer (chairman, CEO and Co-CIO), 10% Owner | 10% Owner | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +168,603 168,603 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | DUDASIK PATRICK H Officer (EVP, COO, CFO and treasurer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,862 47,862 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | Kunimura Robert M Officer (SVP, chief technology officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,415 14,415 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | Gilbert Richard W Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,353 4,353 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | Bulkley G Bradford Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,353 4,353 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | FEIGER MITCHELL Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,353 4,353 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | Knight Arthur L Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,353 4,353 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | CALAMOS NICK P Officer (SEVP and Co-CIO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +123,732 123,732 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | HAMMAN JAMES S JR Officer (EVP, Genl Counsel, Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +44,598 44,598 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | Jones Scott C Officer (EVP, chief administrative ofcr) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,209 7,209 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | Baka James F Officer (EVP) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,195 27,195 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | Moriarty Philip E Officer (EVP) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,512 43,512 owned after | $27.58 exercise price | 2007-02-20 | |
| 2007-02-15 | BHATT NIMISH S Officer (SVP, director of operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,958 14,958 owned after | $27.58 exercise price | 2007-02-20 | |
| 2006-02-15 | CALAMOS JOHN P SR | Calamos Family Partners, Inc. Director, Officer (chairman CEO and Co-CIO), 10% Owner | 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +133,362 133,362 owned after | $35.43 exercise price | 2006-02-17 | |
| 2006-02-15 | DUDASIK PATRICK H Officer (EVP, CFO and treasurer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,171 21,171 owned after | $35.43 exercise price | 2006-02-17 | |
| 2006-02-15 | HAMMAN JAMES S JR Officer (EVP, Genl Counsel, Secretary) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,755 31,755 owned after | $35.43 exercise price | 2006-02-17 | |
| 2006-02-15 | Knight Arthur L Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,387 3,387 owned after | $35.43 exercise price | 2006-02-17 | |
| 2006-02-15 | Gilbert Richard W Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,387 3,387 owned after | $35.43 exercise price | 2006-02-17 | |
| 2006-02-15 | Bulkley G Bradford Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,387 3,387 owned after | $35.43 exercise price | 2006-02-17 | |
| 2006-02-15 | Baka James F Officer (SVP, natl sales mgr-inst svcs) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,236 4,236 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-15 | INNES BRUCE D Other (officer cessation) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,272 1,272 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-15 | Kunimura Robert M Officer (SVP, chief technology officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,295 5,295 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-15 | Moriarty Philip E Officer (SVP, natl sales mgr) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,082 5,082 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-15 | BHATT NIMISH S Officer (SVP, director of operations) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,400 5,400 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-15 | Swanson David Officer (EVP of distribution-marketing) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,236 4,236 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-15 | Jones Scott C Officer (EVP, chief administrative ofcr) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,649 2,649 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-15 | CALAMOS NICK P Director, Officer (SEVP and Co-CIO) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +87,321 87,321 owned after | $35.43 exercise price | 2006-02-16 | |
| 2006-02-03 holding as of filing | Baka James F Officer (SVP, Natl Sales Mgr-Inst Svcs) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $18.00 exercise price | 2006-02-03 | ||
| 2006-02-03 holding as of filing | Baka James F Officer (SVP, Natl Sales Mgr-Inst Svcs) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $28.76 exercise price | 2006-02-03 |