0001494655-13-000002.txt : 20130219
0001494655-13-000002.hdr.sgml : 20130219
20130214215222
ACCESSION NUMBER: 0001494655-13-000002
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20130215
DATE AS OF CHANGE: 20130214
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: TRIO TECH INTERNATIONAL
CENTRAL INDEX KEY: 0000732026
STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559]
IRS NUMBER: 952086631
STATE OF INCORPORATION: CA
FISCAL YEAR END: 0625
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-39711
FILM NUMBER: 13617362
BUSINESS ADDRESS:
STREET 1: 16139 WYANDOTTE ST.
CITY: VAN NUYS
STATE: CA
ZIP: 91406
BUSINESS PHONE: 818-787-7000
MAIL ADDRESS:
STREET 1: 16139 WYANDOTTE ST.
CITY: VAN NUYS
STATE: CA
ZIP: 91406
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Wedbush Opportunity Capital, LLC
CENTRAL INDEX KEY: 0001494655
IRS NUMBER: 753242582
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 1000 WILSHIRE BOULEVARD
STREET 2: SUITE 1140
CITY: LOS ANGELES
STATE: CA
ZIP: 90017
BUSINESS PHONE: 213-688-8082
MAIL ADDRESS:
STREET 1: 1000 WILSHIRE BOULEVARD
STREET 2: SUITE 1140
CITY: LOS ANGELES
STATE: CA
ZIP: 90017
SC 13G/A
1
trt2013.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE13Ga*
(Amendment No__3__)*
Under the Securities Exchange Act of 1934
Trio-Tech International, Inc.
---------------------------------------------------------------------
(Name of Issuer)
Common Stock, no par value
---------------------------------------------------------------------
(Title of Class of Securities)
896712-205
-----------------
(CUSIP Number)
December 31, 2012
---------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
/x/ Rule 13d-1(b)
/x/ 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 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).
Potential persons who are to 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 1745 (3-98)
CUSIP No. 896712-205
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
WEDBUSH, Inc.
---------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) /x/
(b) / /
---------------------------------------------------------------------
3. SEC Use Only
---------------------------------------------------------------------
4. Citizenship or Place of Organization
California
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 22,364
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 94,574
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 22,364
----------------------------------------------
8.Shared Dispositive Power 94,574
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
94,574
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
2.85%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
HC
CUSIP No. 896712-205
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Edward W. Wedbush
---------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) /x/
(b) / /
---------------------------------------------------------------------
3. SEC Use Only
---------------------------------------------------------------------
4. Citizenship or Place of Organization
United States of America
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 11,259
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 105,833
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 11,259
----------------------------------------------
8.Shared Dispositive Power 105,833
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
105,833
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
3.19%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
IN
CUSIP No. 896712-205
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Wedbush Opportunity Capital, LLC
---------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) /x/
(b) / /
---------------------------------------------------------------------
3. SEC Use Only
---------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 0
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 72,210
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 0
----------------------------------------------
8.Shared Dispositive Power 72,210
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
72,210
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
2.17%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
OO
CUSIP No. 896712-205
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Wedbush Opportunity Partners, LP
---------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) /x/
(b) / /
---------------------------------------------------------------------
3. SEC Use Only
---------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 0
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 72,210
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 0
----------------------------------------------
8.Shared Dispositive Power 72,210
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
72,210
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
2.17%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
PN
Cusip No. 896712-205 13G Trio-Tech, International
---------------------------------------------------------------------
Item 1. Name and Address of Issuer.
(a) This statement relates to the shares of the common stock of
Trio-Tech, International ("Issuer").
(b) Issuer's address: 16139 Wyandotte Street
Van Nuys, CA 91406
Item 2. Filers
(a) This statement is filed by WEDBUSH, Inc. ("WI"),
Edward W. Wedbush ("EWW"), Wedbush Opportunity Capital, LLC ("WOC"),
and Wedbush Opportunity Partners, LP ("WOP").
(b) Business address of the above filers are as follows:
WI - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457
EWW - P.O. Box 30014, Los Angeles, CA 90030-0014
WOC - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457
WOP - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457
(c) WI is a California corporation. EWW is a citizen of the
United States of America. WOC is a limited liability corporation
organized under the laws of the State of Delaware. WOP is
a limited partnership organized under the laws of the State
of Delaware.
(d) Common stock
(e) 896712-205
Item 3. Classification of Filers
(a) WI is a control person.
(b) - (j) Not applicable
(b) - (j) Not applicable
(b) - (j) Not applicable
Item 4. Ownership
(a) Together, the Reporting Persons beneficially own a total of 105,833
shares of Common Stock of the Issuer.
(b) Together, the Reporting Persons beneficially own approximately 3.2%
of the outstanding shares of the Issuer.
(c) Number of Shares as to which the filer has:
(i) Sole power to vote: WI has sole power to vote on
22,364 Shares; EWW has 11,259 sole Shares; WOC has 0 sole shares;
and WOP has 0 sole Shares.
(ii) Shared power to vote: WI has shared power to vote on 94,574
Shares; EWW has 105,833 Shares; WOC has 72,210 Shares; and WOP has
72,210 Shares.
(iii) Sole power to dispose: WI has sole power to
dispose on 22,364 Shares; EWW has 105,833 Shares
to dispose; and WOC has 0 Shares to dispose; and WOP has
0 Shares to dispose.
(iv) Shared power to dispose; WI has 94,574 Shares;
EWW has 105,833 Shares; WOC has 72,210 Shares; and WOP has
72,210 Shares.
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report 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 [X].
Item 6. Ownership of More Than Five Percent on Behalf of Another.
Not applicable.
Item 7. Identification and Classification of Subsidiary which
Acquired the Securities Being Reported on by the Parent
Holding Company.
Not Applicable.
Item 8. Identification and Classification of Members of a Group.
Name Category
WEDBUSH, Inc. HC
Edward W. Wedbush IN
Wedbush Opportunity Capital, LLC OO
Wedbush Opportunity Partners, LP PN
Edward W. Wedbush owns approximately 50% of the issued and outstanding
shares of WEDBUSH, Inc., which is the sole shareholder of Wedbush
Securities Inc. Mr. Wedbush is also the Chairman of the Board of WEDBUSH,
Inc. and the President of Wedbush Securities Inc. WEDBUSH, Inc. is the
sole member of Wedbush Asset Management, LLC, a registered investment
adviser. Wedbush Asset Management, LLC is the sole member of Wedbush
Opportunity Capital, LLC, which is the manager and general partner of
Wedbush Opportunity Capital, LP. The foregoing should not be construed
as an admission of beneficial ownership of the securities held or
controlled by WEDBUSH, Inc., Wedbush Securities Inc., Wedbush Opportunity
Partners, LLC or Wedbush Opportunity Capital, LP.
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 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.
WEDBUSH, Inc.
02/08/13
---------------------------
Date
ERIC D. WEDBUSH
------------------
Eric D. Wedbush
---------------------------
Signature
ERIC D. WEDBUSH
------------------
Eric D. Wedbush/ President
---------------------------
Name/Title
Edward W. Wedbush
02/08/13
---------------------------
Date
EDWARD W. WEDBUSH
------------------
Edward W. Wedbush
---------------------------
Signature
EDWARD W. WEDBUSH
------------------
Edward W. Wedbush
---------------------------
Name/Title
Wedbush Opportunity Capital, LLC
02/08/13
---------------------------
Date
ERIC D. WEDBUSH
------------------
Eric D. Wedbush
---------------------------
Signature
ERIC D. WEDBUSH
------------------
Eric D. Wedbush/ Managing Director
---------------------------
Name/Title
Wedbush Opportunity Partners, LP
02/08/13
---------------------------
Date
ERIC D. WEDBUSH
------------------
Eric D. Wedbush
---------------------------
Signature
ERIC D. WEDBUSH
------------------
Eric D. Wedbush/ Managing Director
---------------------------
Name/Title