Calamos Investments - Wholesaler Compensation: Focus Funds

Wholesaler Compensation: Focus Funds

Calamos Financial Services, LLC - Distributor (CFS) has adopted an Incentive Plan (the “Plan”) covering wholesalers that are Investment and Sr. Investment Consultants (“CFS Wholesalers”). Generally, CFS Wholesalers market shares of the Calamos Family of Funds to financial advisors, who in turn may recommend that investors purchase shares of a Calamos fund. The Plan is an incentive program that combines a quarterly incentive component with an annual out-performance award potential, based on achieving certain sales and other performance metrics. Under the Plan, CFS Wholesalers will receive a monetary quarterly incentive based on the amount of sales generated from their marketing of the fund, and that incentive will differ depending on the product tier of the fund. Each fund is assigned to a product tier – Tier I: core or focus funds; Tier II: cornerstone funds and Tier III; taking into consideration, among other things, the following criteria, where applicable:

  • The Fund’s consistency with CFS’s branding and long-term strategy;
  • The Fund’s competitive performance;
  • The Fund’s Morningstar rating;
  • Market size for the Fund tier;
  • The Fund’s size, including sales and redemptions of the Fund’s shares.

This information and other factors are presented to an executive management committee comprised of representatives from various groups within CFS, who review on a regular basis the funds assigned to each product tier described above, and may make changes to those assignments periodically. No one factor, whether positive or negative, determines a fund’s placement in a given product tier; all these factors together are considered, and the designation of funds in a particular tier represents management’s judgment based on the above criteria. In addition, management may consider a fund’s profile over the course of several review periods before making a change to its tier assignment.

Product Tiering Structure:Tier
Calamos Evolving World Growth Fund1
Calamos International Growth Fund1
Calamos Global Equity Fund1
Calamos Blue Chip Fund1
Calamos Value Fund1
Calamos Growth Fund1
Calamos Discovery Growth Fund1
Calamos High Yield Fund1
Calamos Total Return Bond Fund1
Calamos U.S. Growth Fund - UCITS1
Calamos Global Equity Fund – UCITS1
Calamos Growth and Income Fund2
Calamos Global Growth and Income Fund2
Calamos Global Convertible Opportunities Fund – UCITS2
Calamos U.S. Convertible Opportunities Fund – UCITS2
Calamos Market Neutral Income Fund3

Before investing, carefully consider the fund's investment objectives, risks, charges and expenses. Please see the prospectus containing this and other information or call 800-582-6959. Read it carefully.

Calamos Financial Services LLC, Distributor



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