Initial Statement of Beneficial Ownership (3)
July 18 2013 - 6:57PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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GUGGENHEIM CAPITAL LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
7/18/2013
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3. Issuer Name
and
Ticker or Trading Symbol
Diamond Resorts International, Inc. [DRII]
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(Last)
(First)
(Middle)
227 WEST MONROE, SUITE 4900
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
CHICAGO, IL 60606
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, $0.01 par value per share
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11338566
(1)
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I
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See footnotes
(2)
(3)
(4)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Call Option (obligation to sell)
(5)
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(5)
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7/21/2016
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Common Stock, $0.01 par value per share
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4510774
(1)
(5)
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$12.63
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I
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See footnotes
(2)
(3)
(4)
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Explanation of Responses:
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(
1)
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This amount represents shares of common stock, par value $0.01 per share, ("Common Stock") of Diamond Resorts International, Inc. (the "Issuer") being issued immediately prior to the closing of the initial public offering of the Common Stock in exchange for units of Diamond Resorts Parent, LLC.
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(
2)
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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 sole owner of GPIM; Guggenheim Partners, LLC, as sole owner of GPIMH; and Guggenheim Capital, LLC, as the majority owner of Guggenheim Partners, LLC.
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(
3)
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DRP Holdco, LLC has entered into a Stockholders Agreement, dated July 17, 2013, with other individuals and entities becoming stockholders of the Issuer. Pursuant to the Stockholders Agreement, each of the parties thereto has agreed to cause the shares of Common Stock held by such party to be voted, at any meeting of stockholders called for such purpose, for the individuals nominated by the Issuer's board of directors for election to the Issuer's board of directors. As a result of the Stockholders Agreement, the parties thereto constitute a "group" (as such term is defined in Section 13(d)(3) of the Securities Exchange Act, as amended ("Exchange Act"), and Rule 13d-5 promulgated thereunder).
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(
4)
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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.
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(
5)
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This represents Common Stock which 1818 Partners, LLC may acquire from DRP Holdco, LLC pursuant to a fully exercisable call option, dated as of July 21, 2011.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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GUGGENHEIM CAPITAL LLC
227 WEST MONROE
SUITE 4900
CHICAGO, IL 60606
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X
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Guggenheim Partners, LLC
135 EAST 57TH STREET
NEW YORK, NY 10022
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X
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Guggenheim Partners Investment Management Holdings, LLC
227 W MONROE ST
STE 4800
CHICAGO, IL 60606
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X
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Guggenheim Partners Investment Management, LLC
100 WILSHIRE BOULEVARD, &NBSP5TH FLOOR
SANTA MONICA, CA 90401
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X
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Signatures
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Guggenheim Capital, LLC, By: Robert Saperstein, Managing Director, /s/ Robert Saperstein
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7/18/2013
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**
Signature of Reporting Person
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Date
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Guggenheim Partners, LLC, By: Guggenheim Capital, LLC, parent company, By: Robert Saperstein, Managing Director, /s/ Robert Saperstein
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7/18/2013
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Signature of Reporting Person
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Date
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Guggenheim Partners Investment Management Holdings, LLC, By: Guggenheim Capital, LLC, parent company, By: Robert Saperstein, Managing Director, /s/ Robert Saperstein
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7/18/2013
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**
Signature of Reporting Person
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Date
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Guggenheim Partners Investment Management, LLC, By: Guggenheim Capital, LLC, parent company, By: Robert Saperstein, Managing Director, /s/ Robert Saperstein
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7/18/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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