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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ZEFF DANIEL 50 CALIFORNIA STREET SUITE 1500 SAN FRANCISCO, CA 94111 |
X | |||
Zeff Holding Company, LLC 50 CALIFORNIA STREET SAN FRANCISCO, CA 94111 |
X | |||
Zeff Capital Partners I, L.P. C/O ZEFF HOLDING COMPANY, LLC 50 CALIFORNIA STREET SAN FRANCISCO, CA 94111 |
X | |||
Spectrum Galaxy Fund Ltd. 50 CALIFORNIA STREET SUITE 1500 SAN FRANCISCO, CA 94111 |
X |
Daniel Zeff | 11/06/2006 | |
**Signature of Reporting Person | Date | |
Daniel Zeff for Zeff Capital Partners I, L.P. | 11/06/2006 | |
**Signature of Reporting Person | Date | |
Dion R. Friedland for Spectrum Galaxy Fund Ltd. | 11/06/2006 | |
**Signature of Reporting Person | Date | |
Daniel Zeff for Zeff Holding Company, LLC | 11/06/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Amended Form 4 amends and supplements that Form 4 originally filed with the Securities and Exchange Commission on 10/4/06 by Daniel Zeff, an individual ("Zeff"), Spectrum Galaxy Fund Ltd., a company incorporated in the British Virgin Islands ("Spectrum"), Zeff Capital Partners, I, L.P. , a Delaware limited partnership ("Capital"), and Zeff Holding Company, LLC, a Delaware limited liability company ("Holding") (collectively, the "Reporting Persons") related to the common stock (the "Common Stock") of Trio Tech International (the "Company"). This Amendment corrects an inadvertent error that identified the Transaction Code in column 3 for each reported transaction as "P" rather than as "S" and provides a clarifying footnote regarding the Reporting Persons' beneficial ownership of the Common Stock. |
(2) | This transaction was effected through Spectrum. Mr. Zeff provides discretionary investment management services to Zeff Capital Offshore Fund, a class of shares of Spectrum, a company incorporated in the British Virgin Islands. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Spectrum is reported herein. Mr. Zeff disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Zeff is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Each of Holding and Capital disclaims beneficial ownership over all shares held by Spectrum. |
(3) | Zeff also indirectly beneficially owns 221,442 shares of TRT common stock through Capital. Zeff is the sole manager and member of Zeff Holding Company, LLC, which in turn serves as the general partner for Capital. |