Mark J. Mickey

About Mark J. Mickey

Mark J. Mickey (born 1951) serves as Chief Compliance Officer (CCO) of Calamos Dynamic Convertible and Income Fund (CCD) and has held this role since 2015; he has been CCO of the Calamos Funds complex since 2005 . He is based at the adviser’s headquarters (2020 Calamos Court, Naperville, IL) per fund officer disclosures . The proxy does not present performance metrics (e.g., TSR, revenue, EBITDA) tied to Mickey’s role, and no officer compensation metrics or pay-for-performance framework are disclosed at the fund level .

Past Roles

External Roles

• Not disclosed in CCD’s proxy for Mickey .

Fixed Compensation

• No officer compensation tables or pay elements (salary, bonus, equity) are presented in CCD’s proxy; only trustee compensation is disclosed .
• For context, non-interested trustees received a $210,000 annual retainer plus supplemental retainers and meeting fees; interested trustees receive $0 from the Funds . This disclosure pertains to trustees, not officers .

Performance Compensation

• No disclosure of incentive metrics, weighting, targets, payouts, or vesting tied to Mickey’s compensation at the fund level .

Equity Ownership & Alignment

• Individual officer holdings (including Mickey) are not itemized in CCD’s proxy; the filing provides trustee-by-trustee holdings and “trustees and officers as a group.” Group ownership increased from 4.9% to 5.2% of CCD common shares over the reported intervals .

• Dollar-range ownership tables by trustee are provided, but do not list Mickey individually; CCD shows “Over $100,000” for John P. Calamos, Sr. in the latest period; others show “None” for CCD or ranges, while officers are reflected only in group totals .

Ownership policies

• No pledging/hedging disclosures, officer ownership guidelines, or compliance status are disclosed for officers in CCD’s proxy .

Employment Terms

• Officers serve until a successor is chosen and qualified or until resignation or removal by the board; no individual employment agreements, severance, change-in-control, non-compete, or clawback terms are disclosed at the fund level for Mickey .

Investment Implications

• Pay-for-performance visibility: Absent officer pay disclosure and incentive metrics at the fund level, investors cannot assess Mickey’s cash/equity mix, performance linkages, or vesting risks from CCD’s proxy; alignment must be inferred from governance and group ownership, not from executive award structures .
• Alignment signals: Trustees and officers as a group hold a meaningful stake (5.2% of CCD), indicating broad insider participation; however, Mickey’s individual ownership is not disclosed, limiting a skin-in-the-game assessment specific to the CCO .
• Retention/execution risk: His long tenure as CCO (Calamos Funds since 2005; CCD since 2015) suggests institutional continuity in compliance oversight; no employment protections or change-in-control economics are disclosed that would alter retention or transition incentives .
• Trading/pressure signals: With no officer-level equity grant or vesting data, there is no basis to infer near-term selling pressure tied to vesting schedules; individual insider trading detail for Mickey is not presented in the proxy (Form 3/4/5 data not in proxy) .

Key gaps: No officer compensation structure, incentives, ownership pledge/hedge policies, or individual officer holdings disclosed in CCD’s proxy. Further review of Calamos Advisors’ disclosures and Forms 3/4/5 would be needed for transaction-level and firm-compensation insights.