-----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, VUwcbABMsImNWTD/UplMDhZYryYOqsWBmh5OkoQhCFsdaDnprndewuabh98jl1xJ m/IgxhRdiYonFGvvKNbwWQ== 0001041885-00-000009.txt : 20000208 0001041885-00-000009.hdr.sgml : 20000208 ACCESSION NUMBER: 0001041885-00-000009 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DII GROUP INC CENTRAL INDEX KEY: 0000899047 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670] IRS NUMBER: 841224426 STATE OF INCORPORATION: DE FISCAL YEAR END: 0103 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-42491 FILM NUMBER: 525168 BUSINESS ADDRESS: STREET 1: 6273 MONARCH PARK PLACE STREET 2: STE 200 CITY: NIWOT STATE: CO ZIP: 80503 BUSINESS PHONE: 3036522221 FORMER COMPANY: FORMER CONFORMED NAME: DOVATRON INTERNATIONAL INC DATE OF NAME CHANGE: 19930319 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INGALLS & SYNDER LLC CENTRAL INDEX KEY: 0001041885 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 135156620 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 61 BROADWAY STREET 2: C/O INGALLS & SNYDER CITY: NEW YORK STATE: NY ZIP: 100006 BUSINESS PHONE: 2122697812 MAIL ADDRESS: STREET 1: 61 BROADWAY CITY: NEW YORK STATE: NY ZIP: 100006 SC 13G/A 1 SCHEDULE 13G/A ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response.......14.90 ------------------------------ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. _____6_____)* THE DII GROUP, INC. ----------------------------------------------------- (Name of Issuer) COMMON STOCK ----------------------------------------------------- (Title of Class of Securities) 259859106 ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. - ---------- *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). CUSIP No. 259859106 13G/A Page 2_ of 5_ Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON(S) INGALLS & SNYDER LLC 13-5156620 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK STATE - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 239,584 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 239,584 -------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 1,070,768 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,311,352 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.6% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* BD - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 13G/A Page 3_ of 5_ Pages Item 1. (a) Name of Issuer: THE DII GROUP, INC. -------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 6273 MONARCH PARK PLACE, SUITE 200, NIWOT, CO 80503 -------------------------------------------------------------- Item 2. (a) Name of Person Filing: INGALLS & SNYDER LLC -------------------------------------------------------------- (b) Address of Principal Business Office, or if None, Residence: 61 BROADWAY, NEW YORK,NY 10006 -------------------------------------------------------------- (c) Citizenship: NEW YORK STATE ------------------------------------------------- (d) Title of Class of Securities: COMMON STOCK -------------------------------------------------------------- (e) CUSIP Number: 259859106 ------------------------------------------------- Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [x] Broker or Dealer registered under Section 15 of the Act, (b) [ ] Bank as defined in Section 3(a)(6) of the Act, (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act, (d) [ ] Investment Company registered under Section 8 of the Investment Company Act, (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(ii)(F); see Item 7, (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G); see Item 7, (h) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(H). 13-G Page 4_ of 5_ Pages Item 4. Ownership. If more than five percent of the class is owned, indicate: (a) Amount beneficially owned: 1,311,352 -------------------------------------, (b) Percent of class: 3.6% ----------------------------------------------, (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 239,584 -----------------, (ii) Shared power to vote or to direct the vote 0 --------------, (iii) Sole power to dispose or to direct the disposition of 239,584 -------------------------------------------------------, (iv) Shared power to dispose or to direct the disposition of 1,070,768 --------------------------------------------------, and (d) Shares which there is a right to acquire: 0 ----------------------. Item 5. Ownership of Five Percent or Less of a Class. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Item 8. Identification and Classification of Members of the Group. Item 9. Notice of Dissolution of Group. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Signature. 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: 01/26/00 /s/Edward H. Oberst - ---------------------------------- (Signature)* Edward H. Oberst Managing Director - ---------------------------------- (Name/Title) * Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). 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