-----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, BjGxtsaZlZlF7DVXuysDf3XwdxU9/h86AJ43uJPdFojNWPAYhVS0OsWqim+PoLpG yuqTAhmjfFtr0JTylGk+LQ== 0001013594-09-000902.txt : 20090417 0001013594-09-000902.hdr.sgml : 20090417 20090417174354 ACCESSION NUMBER: 0001013594-09-000902 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090409 FILED AS OF DATE: 20090417 DATE AS OF CHANGE: 20090417 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THORP JEFFREY CENTRAL INDEX KEY: 0001029691 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10994 FILM NUMBER: 09757744 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VIRTUS INVESTMENT PARTNERS, INC. CENTRAL INDEX KEY: 0000883237 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 954191764 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 PEARL STREET STREET 2: 9TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 860-403-5000 MAIL ADDRESS: STREET 1: 100 PEARL STREET STREET 2: 9TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT PARTNERS LTD/CT DATE OF NAME CHANGE: 19990312 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX DUFF & PHELPS CORP DATE OF NAME CHANGE: 19951117 FORMER COMPANY: FORMER CONFORMED NAME: DUFF & PHELPS CORP DATE OF NAME CHANGE: 19930328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sonoma Capital, LP CENTRAL INDEX KEY: 0001458331 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10994 FILM NUMBER: 09757743 BUSINESS ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-897-8040 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sonoma Capital, LLC CENTRAL INDEX KEY: 0001462064 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10994 FILM NUMBER: 09757742 BUSINESS ADDRESS: STREET 1: 805 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-897-8040 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sonoma Capital Management, LLC CENTRAL INDEX KEY: 0001462065 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10994 FILM NUMBER: 09757741 BUSINESS ADDRESS: STREET 1: 805 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-897-8040 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 3 1 virtusfm3-041709_ex.xml X0203 3 2009-04-09 0 0000883237 VIRTUS INVESTMENT PARTNERS, INC. VRTS 0001029691 THORP JEFFREY 805 THIRD AVENUE 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001458331 Sonoma Capital, LP 805 THIRD AVENUE 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001462064 Sonoma Capital, LLC 805 THIRD AVENUE, 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001462065 Sonoma Capital Management, LLC 805 THIRD AVENUE, 16TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 377500 D Common Stock 377500 D Reflects the securities of the issuer owned directly by Sonoma Capital, LP. Reflects the securities of the issuer owned directly by Jeffrey Thorp IRA, HSBC Bank USA, N.A. as Custodian (the "HSBC IRA"). Sonoma Capital, LLC is the general partner of Sonoma Capital, LP. Jeffrey Thorp is the managing member of Sonoma Capital, LLC. Sonoma Capital Management, LLC is the investment manager of Sonoma Capital, LP. Jeffrey Thorp is the managing member of Sonoma Capital Management, LLC. As a result, Sonoma Capital, LP, Sonoma Capital Management, LLC, Sonoma Capital LLC and Jeffrey Thorp may be deemed to have shared power to vote or to direct the vote and shared power to dispose or to direct the disposition of the shares of Common Stock owned by Sonoma Capital, LP. Jeffrey Thorp is the controlling person of the HSBC IRA. As a result, Jeffrey Thorp may be deemed to have shared power to vote or to direct the vote and shared power to dispose or to direct the disposition of the shares of Common Stock owned by the HSBC IRA. For purposes of this Form 3, Jeffrey Thorp, Sonoma Capital, LLC and Sonoma Capital Management, LLC disclaim ownership of the shares of common stock owned by Sonoma Capital, LP and the HSBC IRA reported on this Form 3 except to the extent of their pecuniary interest therein. Jeffrey Thorp 2009-04-14 Jeffrey Thorp, Managing Member of Sonoma Capital, LLC, general partner of Sonoma Capital, LP 2009-04-14 Jeffrey Thorp, Managing Member of Sonoma Capital, LLC 2009-04-14 Jeffrey Thorp, Managing Member of Sonoma Capital Management, LLC 2009-04-14 Jeffrey Thorp, Jeffrey Thorp IFA, HSBC Bank USA, N.A. as Custodian 2009-04-14 -----END PRIVACY-ENHANCED MESSAGE-----