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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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 14, 2024
Calamos Long/Short Equity & Dynamic Income Trust
(Exact Name of Registrant as Specified in Its
Charter)
Delaware
(State or Other Jurisdiction of Incorporation)
811-23295 |
|
82-2860404 |
(Commission File Number) |
|
(IRS Employer Identification No.) |
|
|
2020 Calamos Court
Naperville, Illinois |
|
60563 |
(Address of Principal Executive Offices) |
|
(Zip Code) |
(630) 245-7200
(Registrant’s Telephone Number, Including
Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since
Last Report)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2.
below):
¨ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
¨ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
¨ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
¨ |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of
the Act: Title of each class Trading Name of each exchange on which registered Symbol(s)
Title of Each Class |
|
Trading Symbol(s) |
|
Name of Each Exchange on Which
Registered |
Common Shares |
|
CPZ |
|
NASDAQ Global Select Market |
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ¨
If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Item 5.03. |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. |
Effective May 14, 2024,
the Board of Trustees of Calamos Long/Short Equity & Dynamic Income Trust (the “Trust”) amended the Trust’s
Fifth Amended and Restated Agreement and Declaration of Trust, dated January 12, 2021 (the “Declaration of Trust”), and
the Trust’s By-Laws, as amended and restated through January 12, 2021 (the “Bylaws”). The aforementioned amendments
(each, an “Amendment” and, together, the “Amendments”) relate to provisions governing the forum for adjudication
of disputes.
The foregoing description
of the Amendments does not purport to be complete and is qualified in its entirety by reference to the full text of each Amendment. The
Amendment to the Declaration of Trust is attached hereto as Exhibit 3.1; and the Amendment to the By-Laws is attached hereto as Exhibit 3.2.
Exhibit 3.1 and Exhibit 3.2 are both incorporated herein by reference.
Item 9.01. |
Financial Statements and Exhibits. |
3.1 |
|
Amendment, dated May 14, 2024, to the Fifth Amended and Restated Agreement and Declaration of Trust of Calamos Long/Short Equity & Dynamic Income Trust, dated January 12, 2021. |
3.2 |
|
Amendment, dated May 14, 2024, to the By-Laws of Calamos Long/Short Equity & Dynamic Income Trust, as amended and restated through January 12, 2021. |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934,
the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|
Calamos Long/Short Equity & Dynamic Income Trust |
|
|
|
|
By: |
/s/ Erik D. Ojala |
|
Name: |
Erik D. Ojala |
|
Title: |
Vice President and Secretary |
Date: May 14, 2024
Exhibit
3.1
CALAMOS
LONG/SHORT EQUITY & DYNAMIC INCOME TRUST
AMENDMENT
NO. 1 TO THE FIFTH AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST
The undersigned, being at least a majority of
the Trustees of Calamos Long/Short Equity & Dynamic Income Trust (the “Trust”), hereby amend the Trust’s Fifth
Amended and Restated Agreement and Declaration of Trust, dated January 12, 2021 (the “Declaration of Trust”), as follows:
| 1. | The Declaration of Trust is hereby amended by: (i) deleting Article IX, Section 13 thereof
in its entirety; and (ii) re-numbering Article IX, Sections 14 and 15 thereof accordingly. |
The foregoing amendment
shall be effective as of the 14th day of May 2024.
IN WITNESS WHEREOF, the
undersigned have executed this Amendment to the Declaration of the Trust as of the 13th day of May 2024.
|
/s/ John P. Calamos, Sr. |
|
John P. Calamos, Sr. |
|
|
|
/s/ John E. Neal |
|
John E. Neal |
|
|
|
/s/ William R. Rybak |
|
William R. Rybak |
|
|
|
/s/ Lloyd A. Wennlund |
|
Lloyd A. Wennlund |
|
|
|
/s/ Virginia G. Breen |
|
Virginia G. Breen |
|
|
|
/s/ Karen L. Stuckey |
|
Karen L. Stuckey |
|
|
|
/s/ Christopher M. Toub |
|
Christopher M. Toub |
Exhibit 3.2
CALAMOS
LONG/SHORT EQUITY & DYNAMIC INCOME TRUST
AMENDMENT
NO. 1 TO THE BY-LAWS
The undersigned, being at least a majority of
the Trustees of Calamos Long/Short Equity & Dynamic Income Trust (the “Trust”), hereby amend the Trust’s By-Laws,
as amended and restated through January 12, 2021 (the “By-Laws”), as follows:
| 1. | The By-Laws are hereby amended by adding the following immediately after Article 11 thereof: |
ARTICLE 12
Forum for Adjudication of Disputes
Unless the Trust
consents in writing to the selection of an alternative forum, the sole and exclusive forum for (i) any derivative action or proceeding
brought on behalf of the Trust, (ii) any action asserting a claim of breach of a fiduciary duty owed by any Trustee, officer or other
employee of the Trust to the Trust or the Trust’s Shareholders, (iii) any action asserting a claim arising pursuant to any
provision of the Delaware Statutory Trust Act, the 1940 Act, the Declaration of Trust or these By-Laws (other than a claim pursuant to
Section 36(b) of the 1940 Act), (iv) any action to interpret, apply, enforce or determine the validity (including under
the 1940 Act) of the Declaration of Trust or these By-Laws or (v) any action asserting a claim governed by the internal affairs doctrine
shall be the Court of Chancery of the State of Delaware, or, if the Court of Chancery of the State of Delaware does not have jurisdiction,
the Superior Court of the State of Delaware (each, a “Covered Action”). Any person purchasing or otherwise acquiring or holding
any interest in shares of beneficial interest of the Trust shall, to the fullest extent permitted by law, including Section 3804(e) of
the Delaware Act, be (i) deemed to have notice of and consented to the provisions of this Article 12, (ii) deemed to have
waived any argument relating to the inconvenience of the forums referenced above in connection with any Covered Action; and (iii) deemed
to have irrevocably waived any and all right to trial by jury in any Covered Action.
If any Covered Action
is filed in a court other than the Court of Chancery of the State of Delaware or the Superior Court of the State of Delaware (a “Foreign
Action”) in the name of any Shareholder, such Shareholder shall be deemed to have consented to (i) the personal jurisdiction
of the Court of Chancery of the State of Delaware and the Superior Court of the State of Delaware in connection with any action brought
in any such courts to enforce the first paragraph of this Article 12 (an “Enforcement Action”) and (ii) having service
of process made upon such Shareholder in any such Enforcement Action by service upon such Shareholder’s counsel in the Foreign Action
as agent for such Shareholder. Furthermore, except to the extent prohibited by any provision of the Delaware Statutory Trust Act or the
Declaration of Trust, if any Shareholder shall initiate or assert a Foreign Action without the written consent of the Trust, then each
such Shareholder shall be obligated jointly and severally to reimburse the Trust and any officer or Trustee of the Trust made a party
to such proceeding for all fees, costs and expenses of every kind and description (including, but not limited to, all reasonable attorneys’
fees and other litigation expenses) that the parties may incur in connection with any successful motion to dismiss, stay or transfer such
Foreign Action based upon non-compliance with this Article 12.
If any provision
or provisions of this Article 12 shall be held to be invalid, illegal or unenforceable as applied to any person or circumstance for
any reason whatsoever, then, to the fullest extent permitted by law, the validity, legality and enforceability of such provision(s) in
any other circumstance and of the remaining provisions of this Article 12 (including, without limitation, each portion of any sentence
of this Article 12 containing any such provision held to be invalid, illegal or unenforceable that is not itself held to be invalid,
illegal or unenforceable) and the application of such provision to other persons and circumstances shall not in any way be affected or
impaired thereby.
The foregoing amendment
shall be effective as of the 14th day of May 2024.
IN WITNESS WHEREOF, the
undersigned have executed this Amendment to the By-Laws of the Trust as of the 13th day of May 2024.
|
/s/ John P. Calamos, Sr. |
|
John P. Calamos, Sr. |
|
|
|
/s/ John E. Neal |
|
John E. Neal |
|
|
|
/s/ William R. Rybak |
|
William R. Rybak |
|
|
|
/s/ Lloyd A. Wennlund |
|
Lloyd A. Wennlund |
|
|
|
/s/ Virginia G. Breen |
|
Virginia G. Breen |
|
|
|
/s/ Karen L. Stuckey |
|
Karen L. Stuckey |
|
|
|
/s/ Christopher M. Toub |
|
Christopher M. Toub |
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