0001140361-15-011285.txt : 20150311 0001140361-15-011285.hdr.sgml : 20150311 20150311131341 ACCESSION NUMBER: 0001140361-15-011285 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150310 FILED AS OF DATE: 20150311 DATE AS OF CHANGE: 20150311 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Diamond Resorts International, Inc. CENTRAL INDEX KEY: 0001566897 STANDARD INDUSTRIAL CLASSIFICATION: HOTELS & MOTELS [7011] IRS NUMBER: 461750895 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10600 WEST CHARLESTON BOULEVARD CITY: LAS VEGAS STATE: NV ZIP: 89135 BUSINESS PHONE: (702) 798-8840 MAIL ADDRESS: STREET 1: 10600 WEST CHARLESTON BOULEVARD CITY: LAS VEGAS STATE: NV ZIP: 89135 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GUGGENHEIM CAPITAL LLC CENTRAL INDEX KEY: 0001283072 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35967 FILM NUMBER: 15691941 BUSINESS ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4900 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (212) 401-0227 MAIL ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4900 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Guggenheim Partners, LLC CENTRAL INDEX KEY: 0001425498 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35967 FILM NUMBER: 15691940 BUSINESS ADDRESS: STREET 1: 135 EAST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-739-0700 MAIL ADDRESS: STREET 1: 135 EAST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Guggenheim Partners Investment Management, LLC CENTRAL INDEX KEY: 0001425852 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35967 FILM NUMBER: 15691938 BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD, 5TH FLOOR CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-576-1270 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD, 5TH FLOOR CITY: SANTA MONICA STATE: CA ZIP: 90401 FORMER NAME: FORMER CONFORMED NAME: Guggenheim Partners Asset Management, Inc. DATE OF NAME CHANGE: 20080201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Guggenheim Partners Investment Management Holdings, LLC CENTRAL INDEX KEY: 0001581086 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35967 FILM NUMBER: 15691939 BUSINESS ADDRESS: STREET 1: 227 W MONROE ST STREET 2: STE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 212-901-9042 MAIL ADDRESS: STREET 1: 227 W MONROE ST STREET 2: STE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 4 1 doc1.xml FORM 4 X0306 4 2015-03-10 0 0001566897 Diamond Resorts International, Inc. DRII 0001283072 GUGGENHEIM CAPITAL LLC 227 WEST MONROE SUITE 4900 CHICAGO IL 60606 0 0 1 0 0001425498 Guggenheim Partners, LLC 227 WEST MONROE SUITE 4900 CHICAGO IL 60606 0 0 1 0 0001581086 Guggenheim Partners Investment Management Holdings, LLC 330 MADISON AVENUE NEW YORK NY 10017 0 0 1 0 0001425852 Guggenheim Partners Investment Management, LLC 100 WILSHIRE BOULEVARD, &NBSP5TH FLOOR SANTA MONICA CA 90401 0 0 1 0 Common Stock, $0.01 par value per share 2015-03-10 4 S 0 1687000 D 9651566 I See footnotes The shares of common stock were sold in an underwritten public offering in which selling stockholders sold an aggregate of 6,700,000 shares of common stock to the underwriter at a price per share of $32.99, of which 5,184,418 shares were sold to the public at a price of $33.75 per share and 1,515,582 shares were repurchased by the Issuer at the price per share at which the underwriter purchased shares from the selling stockholders. These shares of Common Stock are held directly by DRP Holdco, LLC. These shares of Common Stock may be deemed to be beneficially owned by the following, each of whom is a Reporting Person: Guggenheim Partners Investment Management, LLC ("GPIM"), which, via its relationship with the managing members of DRP Holdco, LLC, whose unanimous consent is required for decisions regarding assets held by DRP Holdco, LLC and who have granted full investment discretion and voting authority to GPIM over their units in DRP Holdco, LLC, exercises complete voting and dispositive power over the shares of Common Stock held by DRP Holdco, LLC; Guggenheim Partners Investment Management Holdings, LLC ("GPIMH"), as the majority owner of GPIM; Guggenheim Partners, LLC, as the majority indirect owner of GPIMH; and Guggenheim Capital, LLC, as the sole owner of Guggenheim Partners, LLC. Each of the reporting persons disclaims beneficial ownership of the shares of Common Stock held by members of such group, except to the extent of such reporting person's pecuniary interest therein, and this statement shall not be construed as an admission that such reporting person is the beneficial owner of any such shares for purposes of Section 16 of the Exchange Act or for any other purpose. Guggenheim Capital, LLC By: Robert Saperstein, Authorized Signatory /s/ Robert Saperstein 2015-03-11 Guggenheim Partners, LLC By: Guggenheim Capital, LLC, parent company By: Robert Saperstein, Authorized Signatory /s/ Robert Saperstein 2015-03-11 Guggenheim Partners Investment Management Holdings LLC By: Guggenheim Capital, LLC, parent company By: Robert Saperstein, Authorized Signatory /s/ Robert Saperstein 2015-03-11 Guggenheim Partners Investment Management, LLC By: Guggenheim Capital LLC, parent company By: Robert Saperstein, Authorized Signatory /s/ Robert Saperstein 2015-03-11