-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GuRNETt3Z83HjnJcCFTdef475CUCDqtHuT/MeHuwf2oaUEBaSnVSBGoz9iEEDUmJ OK0BpGBkifa1T5F8noxejw== 0000919574-10-001061.txt : 20100216 0000919574-10-001061.hdr.sgml : 20100215 20100212190425 ACCESSION NUMBER: 0000919574-10-001061 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIAMOND HILL INVESTMENT GROUP INC CENTRAL INDEX KEY: 0000909108 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 650190407 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79145 FILM NUMBER: 10601821 BUSINESS ADDRESS: STREET 1: 325 JOHN H MCCONNELL BLVD STREET 2: SUITE 200 CITY: COLUMBUS STATE: OH ZIP: 43215 BUSINESS PHONE: 6142553333 MAIL ADDRESS: STREET 1: 325 JOHN H MCCONNELL BLVD STREET 2: SUITE 200 CITY: COLUMBUS STATE: OH ZIP: 43215 FORMER COMPANY: FORMER CONFORMED NAME: BANC STOCK GROUP INC DATE OF NAME CHANGE: 19971016 FORMER COMPANY: FORMER CONFORMED NAME: HEARTLAND GROUP OF COMPANIES INC DATE OF NAME CHANGE: 19940301 FORMER COMPANY: FORMER CONFORMED NAME: HEARTLAND FINANCIAL GROUP INC DATE OF NAME CHANGE: 19930714 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Arrow Capital Management, LLC CENTRAL INDEX KEY: 0001389082 IRS NUMBER: 010761224 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 499 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-243-7338 MAIL ADDRESS: STREET 1: 499 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 d1068955_13g-a.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Diamond Hill Investment Group, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 25264R207 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2009 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) - ---------- * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 25264R207 --------------------- 1. NAME OF REPORTING PERSONS Arrow Capital Management, LLC 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 121,910 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 121,910 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 121,910 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.66% 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO CUSIP No. 25264R207 --------------------- 1. NAME OF REPORTING PERSONS Alexandre von Furstenberg 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 6. SHARED VOTING POWER 121,910 7. SOLE DISPOSITIVE POWER 8. SHARED DISPOSITIVE POWER 121,910 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 121,910 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.66% 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN CUSIP No. 25264R207 --------------------- 1. NAME OF REPORTING PERSONS Mal Serure 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 121,910 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 121,910 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 121,910 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.66% 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN CUSIP No. 25264R207 --------------------- Item 1(a). Name of Issuer: Diamond Hill Investment Group, Inc. -------------------------------------------------------------------- (b). Address of Issuer's Principal Executive Offices: 325 John H. McConnell Blvd. Suite 200 Columbus, Ohio 43215 United States of America -------------------------------------------------------------------- Item 2(a). Name of Persons Filing: Arrow Capital Management, LLC Alexandre von Furstenberg Mal Serure -------------------------------------------------------------------- (b). Address of Principal Business Office, or if None, Residence: Arrow Capital Management, LLC 499 Park Avenue New York, NY 10022 United States of America Alexandre von Furstenberg c/o Arrow Capital Management, LLC 499 Park Avenue New York, NY 10022 United States of America Mal Serure c/o Arrow Capital Management, LLC 499 Park Avenue New York, NY 10022 United States of America -------------------------------------------------------------------- (c). Citizenship: Arrow Capital Management, LLC - Delaware Alexandre von Furstenberg - United States of America Mal Serure - United States of America -------------------------------------------------------------------- (d). Title of Class of Securities: Common Stock, no par value -------------------------------------------------------------------- (e). CUSIP Number: 25264R207 -------------------------------------------------------------------- Item 3. If This Statement is filed pursuant to ss.240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act (15 U.S.C. 78c). (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act (15 U.S.C. 78c). (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act (15 U.S.C. 78c). (d) [_] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with s.240.13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with s.240.13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813); (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [_] Group, in accordance with s.240.13d-1(b)(1)(ii)(J). Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: Arrow Capital Management, LLC - 121,910 Alexandre von Furstenberg - 121,910 Mal Serure - 121,910 -------------------------------------------------------------------- (b) Percent of class: Arrow Capital Management, LLC - 4.66% Alexandre von Furstenberg - 4.66% Mal Serure - 4.66% -------------------------------------------------------------------- (c) Number of shares as to which the person has: Arrow Capital Management, LLC (i) Sole power to vote or to direct the vote 0 ------------------, (ii) Shared power to vote or to direct the vote 121,910 ------------------, (iii) Sole power to dispose or to direct the 0 disposition of ------------------, (iv) Shared power to dispose or to direct the 121,910 disposition of ------------------. Alexandre von Furstenberg (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 0 ------------------, (ii) Shared power to vote or to direct the vote 121,910 ------------------, (iii) Sole power to dispose or to direct the 0 disposition of ------------------, (iv) Shared power to dispose or to direct the 121,910 disposition of ------------------. Mal Serure (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 0 ------------------, (ii) Shared power to vote or to direct the vote 121,910 ------------------, (iii) Sole power to dispose or to direct the 0 disposition of ------------------, (iv) Shared power to dispose or to direct the 121,910 disposition of ------------------. -------------------------------------------------------------------- Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. --------------------------------------------------------------------------- Item 6. Ownership of More Than Five Percent on Behalf of Another Person. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. N/A --------------------------------------------------------------------------- Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. If a parent holding company or Control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary. N/A --------------------------------------------------------------------------- Item 8. Identification and Classification of Members of the Group. If a group has filed this schedule pursuant to s.240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to s.240.13d-1(c) or s.240.13d-1(d), attach an exhibit stating the identity of each member of the group. N/A --------------------------------------------------------------------------- Item 9. Notice of Dissolution of Group. Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. N/A --------------------------------------------------------------------------- Item 10. Certification. By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect. SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. February 12, 2010 ---------------------------------------- (Date) Arrow Capital Management, LLC* By: /s/ Mal Serure ------------------------------ Name: Mal Serure Title: Managing Member /s/ Alexandre von Furstenberg* ------------------------------ Alexandre von Furstenberg /s/ Mal Serure* ------------------------------ Mal Serure * The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). Exhibit A AGREEMENT --------- The undersigned agree that this amendment to Schedule 13G dated February 12, 2010, relating to the Common Stock, no par value, of Diamond Hill Investment Group, Inc. shall be filed on behalf of the undersigned. Arrow Capital Management, LLC By: /s/ Mal Serure ------------------------------ Name: Mal Serure Title: Managing Member /s/ Alexandre von Furstenberg ------------------------------ Alexandre von Furstenberg /s/ Mal Serure ------------------------------ Mal Serure SK 21739 0002 1068955 -----END PRIVACY-ENHANCED MESSAGE-----