-----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, Rlk3ePszUoj9zQfsQtwk5NkARYePvye2pIMpYOFwtGb9Fv2s3OAo6oBfusB8GyXA Bi7altBOTu2g3hR0gGEyrg== 0000899140-96-000465.txt : 19960926 0000899140-96-000465.hdr.sgml : 19960926 ACCESSION NUMBER: 0000899140-96-000465 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960925 SROS: NYSE GROUP MEMBERS: JONATHAN L. STEINBERG GROUP MEMBERS: RUSSELL L. ANMUTH GROUP MEMBERS: WISDOM TREE CAPITAL MANAGEMENT INC GROUP MEMBERS: WISDOMTREE ASSOCIATES, L.P. GROUP MEMBERS: WISDOMTREE OFFSHORE, LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIANA CORP CENTRAL INDEX KEY: 0000057201 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & RELATED PRODUCTS [5140] IRS NUMBER: 362448698 STATE OF INCORPORATION: DE FISCAL YEAR END: 0403 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-07333 FILM NUMBER: 96634500 BUSINESS ADDRESS: STREET 1: 8200 W BROWN DEER ROAD CITY: MILWAUKEE STATE: WI ZIP: 53223-1706 BUSINESS PHONE: 4143550037 FORMER COMPANY: FORMER CONFORMED NAME: FH INDUSTRIES CORP DATE OF NAME CHANGE: 19850814 FORMER COMPANY: FORMER CONFORMED NAME: SCOT LAD FOODS INC DATE OF NAME CHANGE: 19841202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WISDOM TREE CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001011300 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133729429 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1633 BROADWAY STREET 2: 38TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2128432777 MAIL ADDRESS: STREET 1: 1633 BROADWAY STREET 2: 38TH FL CITY: NEW YORK STATE: NY ZIP: 10019 SC 13D/A 1 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2) Under the Securities Exchange Act of 1934 The Diana Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $1.00 - -------------------------------------------------------------------------------- (Title of Class of Securities) 252790100 - -------------------------------------------------------------------------------- (CUSIP Number of Class of Securities) Scot A. Rosenblum WisdomTree Associates, L.P. 1633 Broadway, 38th Floor New York, New York 10019 (212) 843-2782 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copies to: Roger D. Blanc Willkie Farr & Gallagher 153 East 53rd Street New York, NY 10022 (212) 821-8000 September 9, 1996 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Schedule) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following: |_| Check the following box if a fee is being paid with this statement: |_| 2 SCHEDULE 13D - --------------------------------- ------------------------------ CUSIP No. 252790100 Page 2 of 13 Pages ----------------------- ------- ------- - --------------------------------- ------------------------------ - ---- --------------------------------------------------------------------------- 1 NAME OF REPORT PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WisdomTree Capital Management, Inc. I.D. #13-3729429 - ---- --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ---- --------------------------------------------------------------------------- 3 SEC USE ONLY - ---- --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ---- --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ---- --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------- --------- ------------------------------------------------------- 7 SOLE VOTING POWER 0 shares of Common Stock --------- ------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 251,450 shares of Common Stock OWNED BY EACH --------- ------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 0 shares of Common Stock --------- ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 251,450 shares of Common Stock - ---- --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 251,450 shares of Common Stock - ---- --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---- --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.0% - ---- --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ---- --------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 3 SCHEDULE 13D - ----------------------------- ---------------------------------- CUSIP No. 252790100 Page 3 of 13 Pages ------------------- ------- ------- - ----------------------------- ---------------------------------- - ---- --------------------------------------------------------------------------- 1 NAME OF REPORT PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WisdomTree Associates, L.P. I.D. #13-3729430 - ---- --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ---- --------------------------------------------------------------------------- 3 SEC USE ONLY - ---- --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - ---- --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) - ---- --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------- --------- ------------------------------------------------------- 7 SOLE VOTING POWER 0 shares of Common Stock --------- ------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 219,900 shares of Common Stock OWNED BY EACH --------- ------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 0 shares of Common Stock --------- ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 219,900 shares of Common Stock - ---- --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 219,900 shares of Common Stock - ---- --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---- --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.4% - ---- --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ---- --------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 4 SCHEDULE 13D - ----------------------------------- ------------------------------ CUSIP No. 252790100 Page 4 of 13 Pages ------------------------- ------- ------- - ----------------------------------- ------------------------------ - ---- --------------------------------------------------------------------------- 1 NAME OF REPORT PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WisdomTree Offshore, Ltd. - ---- --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ---- --------------------------------------------------------------------------- 3 SEC USE ONLY - ---- --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - ---- --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) - ---- --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - -------------- --------- ------------------------------------------------------- 7 SOLE VOTING POWER 0 shares of Common Stock --------- ------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 31,550 shares of Common Stock OWNED BY EACH --------- ------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 0 shares of Common Stock --------- ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 31,550 shares of Common Stock - ---- --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 31,550 shares of Common Stock - ---- --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---- --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.6% - ---- --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - ---- --------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 5 SCHEDULE 13D - --------------------------------- ------------------------------- CUSIP No. 252790100 Page 5 of 13 Pages ----------------------- ------- ------- - --------------------------------- ------------------------------- - ---- --------------------------------------------------------------------------- 1 NAME OF REPORT PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jonathan L. Steinberg I.D. ####-##-#### - ---- --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ---- --------------------------------------------------------------------------- 3 SEC USE ONLY - ---- --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ---- --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) - ---- --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------- --------- ------------------------------------------------------- 7 SOLE VOTING POWER 0 shares of Common Stock --------- ------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 251,450 shares of Common Stock OWNED BY EACH REPORTING PERSON WITH --------- ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 shares of Common Stock --------- ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 251,450 shares of Common Stock - ---- --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 251,450 shares of Common Stock - ---- --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---- --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.0% - ---- --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - ---- --------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 6 SCHEDULE 13D - ---------------------------------- ------------------------------ CUSIP No. 252790100 Page 6 of 13 Pages ------------------------ ------- ------- - ---------------------------------- ------------------------------ - ---- --------------------------------------------------------------------------- 1 NAME OF REPORT PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Russell L. Anmuth I.D. ####-##-#### - ---- --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ---- --------------------------------------------------------------------------- 3 SEC USE ONLY - ---- --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - ---- --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) - ---- --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------- --------- ------------------------------------------------------- 7 SOLE VOTING POWER 100 shares of Common Stock --------- ------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 251,450 shares of Common Stock OWNED BY EACH --------- ------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 100 shares of Common Stock --------- ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 251,450 shares of Common Stock - ---- --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 251,550 shares of Common Stock - ---- --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---- --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.0% - ---- --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - ---- --------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 7 This Amendment No. 2, dated September 25, 1996, to the Schedule 13, dated January 22, 1996, as amendmed by Amendment No. 1, dated April 22, 1996, filed on behalf of WisdomTree Associates, L.P. (the "Partnership"), WisdomTree Capital Management, Inc. (the "General Partner"), WisdomTree Offshore, Ltd. ("WisdomTree Offshore"), Jonathan L. Steinberg ("Mr. Steinberg") and Russell L. Anmuth ("Mr. Anmuth" and collectively, the "Reporting Entities"), relates to the Common Stock, par value $1.00 per share (the "Common Stock"), of The Diana Corporation, a Delaware corporation (the "Company"), and is being filed pursuant to Rule 13d-2 under the Securities Exchange Act of 1934, as amended. Item 3. Source and Amount of Funds or Other Consideration. Item 3 is hereby amended and restated as set forth below: Of the 219,900 shares of Common Stock acquired by the Partnership (the "Partnership Purchases"), 210,650 shares were acquired in brokered transactions for an aggregate purchase price of $2,348,439.97 and 9,250 shares were acquired pursuant to a five percent stock dividend payable on January 5, 1996 to shareholders of record on December 18, 1995. The 31,550 shares of Common Stock purchased by WisdomTree Offshore (the "Offshore Purchases") were acquired in brokered transactions for an aggregate purchase price of $846,530.70. The 100 shares of Common Stock acquired by Mr. Anmuth were acquired in brokered transactions for an aggregate purchase price of $2,466. The source of funds for the Partnership Purchases was investment capital contributed by the Partnership. The source of funds for the Offshore Purchases was investment capital contributed by WisdomTree Offshore. The source of funds for the shares purchased by Mr. Anmuth was personal funds contributed by Mr. Anmuth. Item 5. Interest in Securities of the Issuer. Item 5 is hereby amended and restated as set forth below: (a) As of September 24, 1996, the Partnership beneficially owned a total of 219,900 shares of the Common Stock of the Company, the General Partner beneficially owned a total of 251,450 shares of the Common Stock of the Company, WisdomTree Offshore beneficially owned a total of 31,550 shares of the Common Stock of the Company, Mr. Steinberg beneficially owned a total of 251,450 shares of the Common Stock of the Company and Mr. Anmuth beneficially owned a total of 251,550 shares of the Common Stock of the Company, constituting 4.4%, 5.0%, 0.6%, 5.0% and 5.0%, respectively, of the shares of Common Stock then outstanding, based on 5,028,590 shares of Common Stock reported to be outstanding as disclosed in the Company's quarterly report on Form 10-Q the quarter ended July 20, 1996. As of September 24, 1996, the Reporting Entities beneficially owned a total of 251,550 shares of the Common Stock of the Company, constituting 5.0% of the shares of Common Stock then outstanding. To the best of the knowledge of the Reporting Entities, none of the individuals listed on Schedule A, with the exception of Mr. Steinberg and Mr. Anmuth, beneficially owns any shares of the Common Stock of the Company, except pursuant to their interests in the Partnership, the General Partner and WisdomTree Offshore. (b) The Partnership, the General Partner, Mr. Steinberg and Mr. Anmuth share voting and dispositive power with respect to 219,900 shares of Common Stock. WisdomTree Offshore, the General Partner, Mr. Steinberg and Mr. Anmuth share voting and dispositive power with respect to 31,550 shares of Common Stock. Mr. Anmuth has sole voting and dispositive power with respect to 100 shares of Common Stock. To the best of the knowledge of the Reporting Entities, none of the individuals listed on Schedule A, with the exception of Mr. Steinberg and Mr. Anmuth, has any voting or dispositive power with respect to shares of Common Stock. 8 (c) Information concerning transactions in Common Stock effected by the Reporting Entities during the past 60 days is set forth in Schedule B hereto and is incorporated by reference. Except as set forth in Schedule B, no transactions in Common Stock have been effected by any of the Reporting Entities or, to the best of the knowledge of the Reporting Entities, by any of the persons identified in Schedule A during the past 60 days. (d) Not applicable. (e) Not applicable. 9 SCHEDULE A The following table sets forth the name and principal employment of each of the officers and directors of WisdomTree Capital Management, Inc., Individual Investor Group, Inc. and WisdomTree Offshore, Ltd., as well as the business address of each director of such entities not employed by such entities. WisdomTree Capital Management, Inc. Position - ------------------ -------- Jonathan L. Steinberg Chairman, Chief Executive Officer, Treasurer and Director Robert Schmidt President and Director Scot Rosenblum Vice President, Secretary and Director Russell Anmuth Vice President Individual Investor Group, Inc. Position - -------------------- -------- Jonathan L. Steinberg Chairman, Chief Executive Officer and Director Robert Schmidt President, Chief Operating Officer and Director Scot Rosenblum Vice President, Secretary and Director Henry Clark Controller and Assistant Secretary Peter M. Ziemba Assistant Secretary Bruce Sokoloff Director; Executive Vice President, Reliance Group Holdings, Inc., 55 East 52nd Street, New York, New York 10055 WisdomTree Offshore, Ltd. Position - ------------------------- -------- Jonathan L. Steinberg Vice President Scot Rosenblum Chairman, Vice President and Director 10 Christopher Wetherhill President and Director; Chief Executive Officer, The Hemisphere Group Limited, Hemisphere House, 9 Church Street, Hamilton, Bermuda Charles Quin Director; Partner, Quin & Hampson, George Town, Grand Cayman, Cayman Islands. 11 SCHEDULE B The Partnership - --------------- 1. On August 22, 1996, the Partnership sold 10,000 shares of Common Stock of the Company in brokered transactions at a price of $33.30 per share. 2. On September 9, 1996, the Partnership sold 10,000 shares of Common Stock of the Company in brokered transactions at a price of $46.84 per share. 3. On September 12, 1996, the Partnership sold 2,100 shares of Common Stock of the Company in brokered transactions at a price of $45.17 per share. WisdomTree Offshore - ------------------- 1. On July 25, 1996, WisdomTree Offshore purchased 950 shares of Common Stock of the Company in brokered transactions at a price of $23.80 per share. 2. On July 29, 1996, WisdomTree Offshore purchased 5,000 shares of Common Stock of the Company in brokered transactions at a price of $24.11 per share. 3. On September 12, 1996, WisdomTree Offshore sold 2,800 shares of Common Stock of the Company in brokered transactions at a price of $45.18 per share. Mr. Anmuth - ---------- 1. On August 21, 1996, Mr. Anmuth purchased 100 shares of Common Stock of the Company in brokered transactions at a price of $24.66 per share. 12 SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: September 25, 1996 WISDOMTREE ASSOCIATES, L.P. By: WisdomTree Capital Management, Inc., General Partner By:/s/ Scot A. Rosenblum Name: Scot A. Rosenblum Title: Vice President Dated: September 25, 1996 WISDOMTREE CAPITAL MANAGEMENT, INC. By:/s/ Scot A. Rosenblum Name: Scot A. Rosenblum Title: Vice President Dated: September 25, 1996 WISDOMTREE OFFSHORE, LTD. By:/s/ Scot A. Rosenblum Name: Scot A. Rosenblum Title: Director Dated: September 25, 1996 By:/s/ Jonathan L. Steinberg ------------------------- Jonathan L. Steinberg Dated: September 25, 1996 By:/s/ Russell L. Anmuth --------------------- Russell L. Anmuth -----END PRIVACY-ENHANCED MESSAGE-----