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Previous: NATIONAL QUALITY CARE INC, 10QSB, 1999-08-13 |
Next: WILMINGTON TRUST CORP, 10-Q, 1999-08-13 |
<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: JUNE 30, 1999
-------------
Check here if Amendment [ ]; Amendment Number: 1
---
This Amendment (Check only one.): [ ] is a restatement
[x] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: CALAMOS ASSET MANAGEMENT, INC.
--------------------------------
Address: 1111 East Warrenville Road
--------------------------------
Naperville, Illinois 60563-1493
--------------------------------
Form 13F File Number: 28-2864
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The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: James W. Faulkner
--------------------------------
Title: CFO & Director of Operations
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Phone: (630) 245-7220
--------------------------------
Signature, Place, and Date of Signing:
/s/ James W. Faulkner Naperville, Ill. 8/13/99
------------------------ -------------------- --------------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
<PAGE> 2
FORM 13F SUMMARY PAGE
Report Summary:
Form 13F Information Table Entry Total: 99
------------------------
Form 13F Information Table Value Total: $272,238
------------------------
(thousands)
<PAGE> 3
FORM 13F INFORMATION TABLE
<TABLE>
<CAPTION>
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5
VALUE SHRS OR SH/ PUT/
NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL
- --------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
ADELPHIA COMMUN 5.5% Convertible Preferred Sto 006848402 26777 133220 SH
ALPHARMA INC 144A(R) 3% Senior Subordinated Convert 020813AC5 560 455 SH
AMER FREIGHTWAY COMMON STOCK 02629V108 336 17200 SH
AMKOR TECHNOLOGY 5.75% Convertible Subordinated 031652AA8 583 592 SH
AMAZON COMMON STOCK O23135106 267 2135 SH
ARGOSY GAMING COMPANY COMMON STOCK 040228108 176 20000 SH
ARKANSAS BEST CORPORATION $2.875 SERIES A CUMULATIVE CON 040790206 3234 89200 SH
AVADO BRANDS COMMON STOCK 05336P108 92 11000 SH
AVADO BRANDS (TECONS) SERIES A 7% Convertible Preferred TECON 05336Q205 233 6100 SH
AVIRON INC REGISTERED 5.75% Convertible Subordinated 053762AC4 214 200 SH
BEA SYSTEMS INC COMMON STOCK 073325102 310 10850 SH
BEA SYSTEMS INC 144A(R) 4% Convertible Subordinated De 073325AA0 958 800 SH
CALLAWAY GOLF COMPANY COMMON STOCK 131193104 2499 170895 SH
CENTOCOR INC COMMON STOCK 152342101 275 5900 SH
CENTOCOR INC 4.75 4.75% Convertible Subordinated 152342AE1 937 834 SH
CHILDRENS PLACE COMMON STOCK 168905107 259 6400 SH
CIRCUIT CITY GP COMMON STOCK 172737108 353 3800 SH
CITRIX SYS INC 144A(R) 0% CONVERTIBLE SUBORDINATED NO 177376AA8 719 1600 SH
CLEAR CHANNEL COMMUNICATIONS COMMON STOCK 184502102 328 4760 SH
CNET INC COMMON STOCK 125945105 379 6600 SH
CNET INC 144A(R) 5% Convertible Notes due 2006 125945AA3 418 250 SH
COMMSCOPE INC COMMON STOCK 203372107 206 6700 SH
COMVERSE TECH 5.75% CONVERTIBLE BOND DUE 10/ 205862AE5 276 111 SH
CONEXANT SYSTEMS 144A(R) 4.25% Convertible Subordinated 207142AA8 641 450 SH
CRESCENT REAL ESTATE EQTIES 6.75% Convertible Preferred St 225756204 212 12400 SH
CROWN CORK & SEAL (DECS) DEC like structure 228255303 15358 572795 SH
DATA PROCESSING 144A 5.25% CONVERTIBLE SUBORDINATED 237823AA7 244 250 SH
DYCOM INDUSTRIES INC COMMON STOCK 267475101 224 4000 SH
ECHOSTAR COMMUNICATIONS COMMON STOCK 278762109 844 5500 SH
EMCOR GROUP INC COMMON STOCK 29084Q100 267 10600 SH
EMULEX CORP COMMON STOCK 292475209 478 4300 SH
FASTENAL COMMON STOCK 311900104 3376 64390 SH
FIRST DATA CORP COMMON STOCK 319963104 2057 42040 SH
FOODMAKER NEW COMMON STOCK 344839204 341 12000 SH
FRONTIER INSURANCE GROUP INC COMMON STOCK 359081106 363 23600 SH
<CAPTION>
COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8
INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER DISCRETION MANAGERS SOLE SHARED NONE
- -----------------------------------------------------------------------------------------
<S> <C> <C> <C>
ADELPHIA COMMUN SOLE 81450 51770
ALPHARMA INC 144A(R) SOLE 355 100
AMER FREIGHTWAY SOLE 17200 0
AMKOR TECHNOLOGY SOLE 432 160
AMAZON SOLE 710 1425
ARGOSY GAMING COMPANY SOLE 20000 0
ARKANSAS BEST CORPORATION SOLE 55180 34020
AVADO BRANDS SOLE 3600 7400
AVADO BRANDS (TECONS) SERIES A SOLE 2000 4100
AVIRON INC REGISTERED SOLE 150 50
BEA SYSTEMS INC SOLE 3450 7400
BEA SYSTEMS INC 144A(R) SOLE 800 0
CALLAWAY GOLF COMPANY SOLE 91020 79875
CENTOCOR INC SOLE 1975 3925
CENTOCOR INC 4.75 SOLE 564 270
CHILDRENS PLACE SOLE 6400 0
CIRCUIT CITY GP SOLE 3800 0
CITRIX SYS INC 144A(R) SOLE 1600 0
CLEAR CHANNEL COMMUNICATIONS SOLE 1650 3110
CNET INC SOLE 6600 0
CNET INC 144A(R) SOLE 250 0
COMMSCOPE INC SOLE 6700 0
COMVERSE TECH SOLE 105 6
CONEXANT SYSTEMS 144A(R) SOLE 450 0
CRESCENT REAL ESTATE EQTIES SOLE 12400 0
CROWN CORK & SEAL (DECS) SOLE 294135 278660
DATA PROCESSING 144A SOLE 250 0
DYCOM INDUSTRIES INC SOLE 4000 0
ECHOSTAR COMMUNICATIONS SOLE 5500 0
EMCOR GROUP INC SOLE 3600 7000
EMULEX CORP SOLE 4300 0
FASTENAL SOLE 38535 25855
FIRST DATA CORP SOLE 26650 15390
FOODMAKER NEW SOLE 12000 0
FRONTIER INSURANCE GROUP INC SOLE 8200 15400
</TABLE>
<PAGE> 4
<TABLE>
<S> <C> <C> <C> <C>
GENESCO INC COMMON STOCK 371532102 523 35900 SH
GENESCO INC REGISTERED 5.50% Convertible Subordinated 371532AL6 696 745 SH
GEON COMPANY COMMON STOCK 37246W105 316 9800 SH
GETTY IMAGES REGISTERED 4.75% Convertible Subordinated 374276AC7 229 250 SH
GILEAD SCIENCES 6.25% 6.25% Convertible subordinated 65333BAC0 276 220 SH
HALTER MARINE 144A(R) 4.5% Convertible Subordinated 40642YAA3 212 340 SH
HOMEBASE INC COMMON STOCK 43738E108 87 13800 SH
HOMEBASE INC 5.25% Convertible Subordinated 43738EAB4 264 305 SH
HUTCHINSON TECH REGISTERED 6% Convertible Subordinated no 448407AC0 234 200 SH
IDEC PHARM CORP COMMON STOCK 449370105 301 3900 SH
INTERIM SERVICES 4.5% Convertible Subordinated 45868PAA8 18257 21019 SH
INTERPUBLIC GRP 144A(R) 1.87% Subordinated notes due 2 460690AG5 27275 29727 SH
JAKKS PACIFIC COMMON STOCK 47012E106 358 12000 SH
JONES APPL(NIN) +$21.396 144A 5.5% CONVERTIBLE SUBORDINATED 65440DAA0 302 300 SH
KERR-MCGEE CORP 7.50% Subordinated Debentures 492386AL1 4753 4783 SH
LAM RESEARCH 144A(R) 5% Convertible Subordinated no 512807AB4 228 250 SH
LSI LOGIC 144A(R) 4.25% Convertible Notes due 20 502161AB8 10269 6270 SH
MAIL- WELL INC COMMON STOCK 560321200 212 13100 SH
MARTIN MARIETTA MATERIALS COMMON STOCK 573284106 279 4736 SH
METROMEDIA INT (PIK/Cash) 7.25% Convertible preferred st 591695200 227 6500 SH
METROMEDIA INT'L GROUP INC COMMON STOCK 591695101 83 11050 SH
MGM GRAND INC COMMON STOCK 552953101 3734 76210 SH
MICHAELS STORES SIREN Step-up Conv. Sub. Notes 594087AC2 638 643 SH
MINDSPRING ENTRP REGISTERED 5% Convertible Subordinated no 602683AA2 34306 36280 SH
MONACO COACH CORP COMMON STOCK 60886R103 267 6300 SH
NET.B@NK INC COMMON STOCK 640933107 291 7735 SH
NEXTEL COMMUNICATION COMMON STOCK 65332V103 263 5250 SH
NOKIA -ADR A ADR 654902204 366 4000 SH
NVR INC COMMON STOCK 62944T105 313 6000 SH
OWENS CORNING COMMON STOCK 69073F103 341 9925 SH
PACIFICARE HEALTH SYSTEMS COMMON STOCK 695112102 220 3052 SH
PERSONNEL GROUP 5.75% Convertible Subordinated 715338AE9 457 535 SH
PERSONNEL GROUP OF AMERICA INC COMMON STOCK 715338109 107 10700 SH
PHOTRONICS INC 6% Convertible notes due 2004 719405AA0 221 200 SH
POGO TRUST I (QUIPS) 6.50% QUIPS due 2029 73044P208 439 8700 SH
PRIDE INTERNATIONAL INC COMMON STOCK 741932107 106 10000 SH
PRIDE INTL INC 6.25% CONVERTIBLE SUBORDINATED 741932AA5 251 250 SH
PSINET INC COMMON STOCK 74437C101 257 5875 SH
PSINET INC REGISTERED 6.75% Convertible Preferred St 74437C309 22609 468590 SH
<S> <C> <C> <C>
GENESCO INC SOLE 28200 7700
GENESCO INC REGISTERED SOLE 360 385
GEON COMPANY SOLE 9800 0
GETTY IMAGES REGISTERED SOLE 150 100
GILEAD SCIENCES 6.25% SOLE 120 100
HALTER MARINE 144A(R) SOLE 340 0
HOMEBASE INC SOLE 4800 9000
HOMEBASE INC SOLE 155 150
HUTCHINSON TECH REGISTERED SOLE 200 0
IDEC PHARM CORP SOLE 875 3025
INTERIM SERVICES SOLE 16020 4999
INTERPUBLIC GRP 144A(R) SOLE 26132 3595
JAKKS PACIFIC SOLE 12000 0
JONES APPL(NIN) +$21.396 144A SOLE 300 0
KERR-MCGEE CORP SOLE 4754 29
LAM RESEARCH 144A(R) SOLE 250 0
LSI LOGIC 144A(R) SOLE 5960 310
MAIL- WELL INC SOLE 4700 8400
MARTIN MARIETTA MATERIALS SOLE 4600 136
METROMEDIA INT (PIK/Cash) SOLE 2300 4200
METROMEDIA INT'L GROUP INC SOLE 3900 7150
MGM GRAND INC SOLE 48860 27350
MICHAELS STORES SIREN SOLE 328 315
MINDSPRING ENTRP REGISTERED SOLE 23153 13127
MONACO COACH CORP SOLE 6300 0
NET.B@NK INC SOLE 2500 5235
NEXTEL COMMUNICATION SOLE 2250 3000
NOKIA -ADR A SOLE 4000 0
NVR INC SOLE 6000 0
OWENS CORNING SOLE 3225 6700
PACIFICARE HEALTH SYSTEMS SOLE 2222 830
PERSONNEL GROUP SOLE 190 345
PERSONNEL GROUP OF AMERICA INC SOLE 3800 6900
PHOTRONICS INC SOLE 200 0
POGO TRUST I (QUIPS) SOLE 6100 2600
PRIDE INTERNATIONAL INC SOLE 3600 6400
PRIDE INTL INC SOLE 90 160
PSINET INC SOLE 1875 4000
PSINET INC REGISTERED SOLE 295190 173400
</TABLE>
<PAGE> 5
<TABLE>
<CAPTION>
<S> <C> <C> <C> <C>
PSYCHEMEDICS CORP COMMON STOCK 744375106 58 11639SH
QUANTA SERVICES COMMON STOCK 74762E102 242 5500SH
RF MICRO DEVICES INC COMMON STOCK 749941100 746 10000SH
ROBBINS & MYERS INC COMMON STOCK 770196103 242 10850SH
SAFEGUARD SCTFC 144A(R) 5% Convertible Subordinated No 786449AD0 533 520SH
SANMINA CORP 144A(R) 4.25% Convertible Subordinated 800907AA5 936 850SH
SCHWAB (CHARLES) CORP COMMON STOCK 808513105 363 3300SH
SEACOR HOLDINGS SEACOR HOLDINGS COMMON STOCK 811904101 289 5400SH
SEAGRAM CO LTD (ACES) 7.50% ACES Due 2002 811850205 45650 921060SH
SGS-THOMSON MICROELEC ZERO Zero Coupon Convertible notes 861012AA0 12679 10073SH
SPORTSLINE USA 144A(R) 5% Convertible Subordinated no 848934AA3 338 460SH
STATION CASINOS INC COMMON STOCK 857689103 2392 117422SH
STRIDE RITE CORP COMMON STOCK 863314100 2393 232020SH
TELEFONOS DE MEXICO 4.25% Convertible Subordinated 879403AD5 2055 2000SH
TELEFONOS DE MEXICO -ADS SPNS ADR ORD L 879403780 265 3285SH
TOWER AUTOMOTIVE 144A(R) 5% Convertible subordinated no 891707AA9 223 200SH
TRANSWITCH CORP COMMON STOCK 894065101 313 6600SH
UNIFY CORP COMMON STOCK 904743101 135 10000SH
UNISYS CORPORATION COMMON STOCK 909214108 1022 26244SH
VALASSIS COMMS VALASSIS COMMS COMMON STOCK 918866104 302 8250SH
VERITY INC COMMON STOCK 92343C106 379 7000SH
WENDYS INTL (TECONs) Series A 950588202 7218 119302SH
WEYERHAEUSER CO. COMMON STOCK 962166104 296 4300SH
WMS INDUSTRIES INC COMMON STOCK 929297109 170 10000SH
XL CAP LTD-A COMMON STOCK G98255105 576 10196SH
<CAPTION>
<S> <C> <C> <C>
PSYCHEMEDICS CORP SOLE 0 11639
QUANTA SERVICES SOLE 5500 0
RF MICRO DEVICES INC SOLE 10000 0
ROBBINS & MYERS INC SOLE 3200 7650
SAFEGUARD SCTFC 144A(R) SOLE 420 100
SANMINA CORP 144A(R) SOLE 750 100
SCHWAB (CHARLES) CORP SOLE 3300 0
SEACOR HOLDINGS SOLE 1800 3600
SEAGRAM CO LTD (ACES) SOLE 667230 253830
SGS-THOMSON MICROELEC ZERO SOLE 2977 7096
SPORTSLINE USA 144A(R) SOLE 460 0
STATION CASINOS INC SOLE 76091 41331
STRIDE RITE CORP SOLE 120835 111185
TELEFONOS DE MEXICO SOLE 1680 320
TELEFONOS DE MEXICO -ADS SOLE 1095 2190
TOWER AUTOMOTIVE 144A(R) SOLE 200 0
TRANSWITCH CORP SOLE 6600 0
UNIFY CORP SOLE 10000 0
UNISYS CORPORATION SOLE 21084 5160
VALASSIS COMMS SOLE 8250 0
VERITY INC SOLE 7000 0
WENDYS INTL (TECONs) SOLE 47629 71673
WEYERHAEUSER CO. SOLE 4300 0
WMS INDUSTRIES INC SOLE 10000 0
XL CAP LTD-A SOLE 10052 144
</TABLE>
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