-----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, KcUpcqB+oo1RWIw2lcXY/TWWxjrr7x4RzNiZr5GyZPTkvNwQNq0o1nwouZ5MwHOu 2Omql7NSViVF7vGmRRfF1w== 0001095449-11-000011.txt : 20110211 0001095449-11-000011.hdr.sgml : 20110211 20110210175733 ACCESSION NUMBER: 0001095449-11-000011 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Jolson Joseph A CENTRAL INDEX KEY: 0001398113 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 2000 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Deerfield Capital Corp. CENTRAL INDEX KEY: 0001313918 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 202008622 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81573 FILM NUMBER: 11594022 BUSINESS ADDRESS: STREET 1: 6250 NORTH RIVER ROAD CITY: ROSEMONT STATE: IL ZIP: 60018 BUSINESS PHONE: 773-380-1600 MAIL ADDRESS: STREET 1: 6250 NORTH RIVER ROAD CITY: ROSEMONT STATE: IL ZIP: 60018 FORMER COMPANY: FORMER CONFORMED NAME: Deerfield Triarc Capital Corp DATE OF NAME CHANGE: 20050110 SC 13G/A 1 dfr_jolson13gamendment1.txt SCHEDULE 13G FOR DECEMBER 31, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) DEERFIELD CAPITAL CORP. (Name of Issuer) Common Stock, $0.001 Par Value (Title of Class of Securities) 244331302 (CUSIP Number) December 31, 2010 (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). 1 Name of Reporting Person Joseph A. Jolson IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |_| 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 692,196 6 Shared Voting Power 0 7 Sole Dispositive Power 692,196 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 692,196 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares |_| 11 Percent of Class Represented by Amount in Row 9 6.3% 12 Type of Reporting Person IN Item 1(a). Name of Issuer: Deerfield Capital Corp. Item 1(b). Address of Issuer's Principal Executive Offices: 6250 North River Road, 9th Floor Rosemont, Illinois 60018 Item 2(a). Names of Person Filing: Joseph A. Jolson Item 2(b). Address of Principal Business Office or, if none, Residence: 600 Montgomery Street, Suite 2000 San Francisco, CA 94111 Item 2(c). Citizenship: United States of America Item 2(d). Title of Class of Securities: Common Stock, $0.001 par value. Item 2(e). CUSIP Number: 244331302 Item 3. Type of Reporting Person. If this statement is filed pursuant to Rule 13d-1(b) or Rule 13d-2(b) or (c), check whether the person filing is a: Not applicable. Item 4. Ownership. (a) Amount beneficially owned: 692,196 (b) Percent of class: 6.3% (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 692,196 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or direct the disposition of: 692,196 (iv) Shared power to dispose or to direct the disposition of: 0 Under the definition of "beneficial ownership" in Rule 13d-3 under the Securities Exchange Act of 1934, it is also possible that he may be deemed a "beneficial owner" of some or all of the securities to which this Schedule relates in that they might be deemed to share the power to direct the voting or disposition of such securities. Neither the filing of this Schedule nor any of its contents shall be deemed to constitute an admission that any of such individuals is, for any purpose, the beneficial owner of any of the securities to which this Schedule relates, and expressly disclaims beneficial ownership of 100,000 shares held by the Jolson Family Foundation. The calculation of percentage of beneficial ownership in item 11 of page 2 was derived from the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 15, 2010 in which the Issuer stated that the number of shares of its common stock outstanding at November 12, 2010 was 11,000,812 shares. Item 5. Ownership of Five Percent or Less of a Class. Not applicable. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 that purpose or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 10, 2011 By: /s/ Joseph A. Jolson Joseph A. Jolson, Individually -----END PRIVACY-ENHANCED MESSAGE-----