Canada-based Picton Mahoney Asset Management has revealed in a new filing with the Securities and Exchange Commission that it currently owns around 7% of Dominion Diamond Corp (NYSE:DDC)‘s outstanding stock. The position contains around 6.0 million shares and is passive by nature.
You can access the original SEC filing by clicking here.
Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
PICTON MAHONEY ASSET MANAGEMENT | 6007518 | 0 | 6007518 | 0 | 6007518 | 7.0% |
Page 1 of 5 SEC Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act
of 1934
(Amendment No. 1)*
DOMINION DIAMOND CORPORATION |
(Name of Issuer) |
Common Stock |
(Title of Class of Securities) |
257287102 |
(CUSIP Number) |
DECEMBER 31, 2015 |
(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) | |
☐ | 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).
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Page 2 of 5 SEC Filing
CUSIP No . | 257287102 | Page 2 of 5 |
1 | NAME OF REPORTING PERSONS | PICTON MAHONEY ASSET MANAGEMENT | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) (b) | ||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | TORONTO | ||
NUMBER OF SHARES | 5 | SOLE VOTING POWER | 6007518 | |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER | 0 | |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER | 6007518 | |
PERSON WITH: | 8 | SHARED DISPOSITIVE POWER | 0 | |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING | 6007518 | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES | ☐ | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | 7.0% | ||
12 | TYPE OF REPORTING PERSON | IA | ||
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Page 3 of 5 SEC Filing
CUSIP No . | 257287102 | Page 3 of 5 |
Item 1(a). | Name of Issuer: | |
DOMINION DIAMOND CORPORATION | ||
Item 1(b). | Address of Issuer’s Principal Executive Offices: | |
PO BOX 4569, STATION A, TORONTO, ONTARIo, M5W 4T9, CANADA | ||
Item 2(a). | Name of Person Filing: | |
PICTON MAHONEY ASSET MANAGEMENT | ||
Item 2(b). | Address of Principal Business Office or, if None, Residence: | |
33 YONGE STREET, SUITE 830, TORONTO, ONTARIO, M5E 1G4 | ||
Item 2(c). | Citizenship: | |
CANADA | ||
Item 2(d). | Title of Class of Securities: | |
COMMON STOCK | ||
Item 2(e). | CUSIP Number: | |
257287102 | ||
Item 3. | If This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a: |
(a) | o | Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). | |
(b) | o | Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). | |
(c) | o | Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). | |
(d) | o | 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 §240.13d-1(b)(1)(ii)(E); |
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Page 4 of 5 SEC Filing
CUSIP No . | 257287102 | Page 4 of 5 |
(f) | o | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); | |
(g) | o | A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G); | |
(h) | o | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |
(i) | o | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3); | |
(j) | o | Group, in accordance with §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: | ||
6007518 | |||
(b) | Percent of class: | ||
7.0% | |||
(c) | Number of shares as to which such person has: | ||
(i) | Sole power to vote or to direct the vote | ||
6007518 | |||
(ii) | Shared power to vote or to direct the vote | ||
0 | |||
(iii) | Sole power to dispose or to direct the disposition of | ||
6007518 | |||
(iv) | Shared power to dispose or to direct the disposition of | ||
0 |
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Page 5 of 5 SEC Filing
CUSIP No . | 257287102 | Page 5 of 5 |
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 ☐ | |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Various persons have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the common stock of Dominion Diamond Corporation. No one person’s interest in the common stock of Dominion Diamond Corporation is more than five percent of the total outstanding common shares. | |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
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 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.
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.
Date: | JANUARY 19, 2016 | ||
Signature: | /s/ ANDREW MA | ||
Name: | ANDREW MA | ||
Title: | CHIEF COMPLIANCE OFFICER |