0001144204-11-038664.txt : 20110701 0001144204-11-038664.hdr.sgml : 20110701 20110701100705 ACCESSION NUMBER: 0001144204-11-038664 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110701 DATE AS OF CHANGE: 20110701 GROUP MEMBERS: K2 GENPAR 2009 INC. GROUP MEMBERS: K2 GENPAR L.P. GROUP MEMBERS: SHAWN KIMEL GROUP MEMBERS: SHAWN KIMEL INVESTMENTS, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Trio Merger Corp. CENTRAL INDEX KEY: 0001514732 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 274867100 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-86303 FILM NUMBER: 11944612 BUSINESS ADDRESS: STREET 1: 777 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-319-7676 MAIL ADDRESS: STREET 1: 777 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: K2 PRINCIPAL FUND, L.P. CENTRAL INDEX KEY: 0001461790 IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 444 ADELAIDE STREET W SUITE 200 CITY: TORONTO STATE: A6 ZIP: M5V 1S7 BUSINESS PHONE: 416-865-2736 MAIL ADDRESS: STREET 1: 444 ADELAIDE STREET W SUITE 200 CITY: TORONTO STATE: A6 ZIP: M5V 1S7 SC 13G 1 v227637_sc13g.htm
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

SCHEDULE 13G
(Rule 13d-102)

Under the Securities Exchange Act of 1934

Trio Merger Corp.
(Name of Issuer)

Common Stock, par value $0.0001 per share
(Title of Class of Securities)

896697208
(CUSIP Number)

June 21, 2011
(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)
¨
Rule 13d-1(c)
x
Rule 13d-1(d)
¨

(Continued on following pages)
(Page 1 of 11 Pages)
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 2 of 11 Pages

1
NAME OF REPORTING PERSONS
 
THE K2 PRINCIPAL FUND, L.P.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)  ¨
 
  
(b)  ¨
     
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
ONTARIO, CANADA
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
5
SOLE VOTING POWER
   -0-
6
SHARED VOTING POWER
    620,000
7
SOLE DISPOSITIVE POWER
   -0-
8
SHARED DISPOSITIVE POWER
  620,000
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    620,000
 
10
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.3%
12
TYPE OF REPORTING PERSON
PN
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 3 of 11 Pages
 
1
NAME OF REPORTING PERSONS
 
K2 GENPAR L.P.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)  ¨
 
  
(b)  ¨
     
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
ONTARIO, CANADA
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
5
SOLE VOTING POWER
   -0-
6
SHARED VOTING POWER
    620,000
7
SOLE DISPOSITIVE POWER
   -0-
8
SHARED DISPOSITIVE POWER
  620,000
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    620,000
 
10
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
¨
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.3%
12
TYPE OF REPORTING PERSON
PN
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 4 of 11 Pages
  
1
NAME OF REPORTING PERSONS
 
K2 GENPAR 2009 INC.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)  ¨
 
  
(b)  ¨
     
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
ONTARIO, CANADA
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
5
SOLE VOTING POWER
   -0-
6
SHARED VOTING POWER
    620,000
7
SOLE DISPOSITIVE POWER
   -0-
8
SHARED DISPOSITIVE POWER
  620,000
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    620,000
 
10
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
¨
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.3%
12
TYPE OF REPORTING PERSON
CO

 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 5 of 11 Pages
 
1
NAME OF REPORTING PERSONS
 
SHAWN KIMEL
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)  ¨
 
  
(b)  ¨
     
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
5
SOLE VOTING POWER
   -0-
6
SHARED VOTING POWER
    620,000
7
SOLE DISPOSITIVE POWER
   -0-
8
SHARED DISPOSITIVE POWER
  620,000
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    620,000
 
10
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
¨
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.3%
12
TYPE OF REPORTING PERSON
IN
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 6 of 11 Pages
    
1
NAME OF REPORTING PERSONS
 
SHAWN KIMEL INVESTMENTS, INC.
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)  ¨
 
  
(b)  ¨
     
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
ONTARIO, CANADA
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
5
SOLE VOTING POWER
   -0-
6
SHARED VOTING POWER
    620,000
7
SOLE DISPOSITIVE POWER
   -0-
8
SHARED DISPOSITIVE POWER
  620,000
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    620,000
 
10
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
¨
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.3%
12
TYPE OF REPORTING PERSON
CO
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 7 of 11 Pages
 
Item 1(a).             Name of Issuer:
 
Trio Merger Corp.
 
Item 1(b).             Address of Issuer’s Principal Executive Offices:
 
777 Third Avenue
37th Floor
New York, New York 10017
 
Item 2(a).             Name of Person Filing:
 
The persons filing this statement are Shawn Kimel (“Kimel”), Shawn Kimel Investments, Inc., an Ontario corporation (“SKI”), The K2 Principal Fund, L.P., an Ontario limited partnership (the “Fund”), K2 GenPar L.P., an Ontario limited partnership (the “GP”), and K2 GenPar 2009 Inc., an Ontario corporation (“GenPar 2009,” and together with Kimel, SKI, the Fund, and the GP, the “Reporting Persons”).
 
Mr. Kimel is president of each of SKI, the GP, and GenPar 2009.  The GP is the general partner of the Fund and GenPar 2009 is the general partner of the GP.  GenPar 2009 is a wholly-owned subsidiary of SKI.
 
Item 2(b).             Address of Principal Business Office or, if None, Residence:
 
The address of the principal business office of each of the Reporting Persons is 444 Adelaide West, Toronto, Ontario, M5V 1S7.
 
Item 2(c).             Citizenship:
 
Mr. Kimel is a citizen of Canada.
 
Each of the Fund and the GP is an Ontario limited partnership.
 
Each of SKI and GenPar 2009 is an Ontario corporation.
 
Item 2(d).             Title of Class of Securities:
 
Common Stock, par value $0.0001 per share.
 
Item 2(e).             CUSIP Number:
 
896697208.
 
Item 3.
If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
 
 
(a)
¨   Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
 
 
(b)
¨   Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
 
 
(c)
¨   Insurance company defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 8 of 11 Pages
 
 
(d)
¨   Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
 
 
(e)
¨   An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
 
 
(f)
¨    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
 
 
(g)
¨    A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
 
 
(h)
¨    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
 
(i)
¨    A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
 
 
(j)
¨    A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
 
 
(k)
¨    Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
 
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:________________.
 
Item 4. Ownership:
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 
The K2 Principal Fund, L.P.
 
(a)
Amount beneficially owned:
620,000
(b)
Percent of class:
10.3%
(c)
Number of shares as to which the person has:
 
(i)
Sole power to vote or direct the vote:
0
 
(ii)
Shared power to vote or direct the vote:
620,000
 
(iii)
Sole power to dispose or direct the disposition of:
0
 
(iv)
Shared power to dispose or direct the disposition of:
620,000
 
K2 GenPar L.P.
 
(a)
Amount beneficially owned:
620,000
(b)
Percent of class:
10.3%
(c)
Number of shares as to which the person has:
 
(i)
Sole power to vote or direct the vote:
0
 
(ii)
Shared power to vote or direct the vote:
620,000
 
(iii)
Sole power to dispose or direct the disposition of:
0
 
(iv)
Shared power to dispose or direct the disposition of:
620,000
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 9 of 11 Pages
 
K2 GenPar 2009 Inc.
 
(a)
Amount beneficially owned:
620,000
(b)
Percent of class:
10.3%
(c)
Number of shares as to which the person has:
 
(i)
Sole power to vote or direct the vote:
0
 
(ii)
Shared power to vote or direct the vote:
620,000
 
(iii)
Sole power to dispose or direct the disposition of:
0
 
(iv)
Shared power to dispose or direct the disposition of:
620,000
 
Shawn Kimel
 
(a)
Amount beneficially owned:
620,000
(b)
Percent of class:
10.3%
(c)
Number of shares as to which the person has:
 
(i)
Sole power to vote or direct the vote:
0
 
(ii)
Shared power to vote or direct the vote:
620,000
 
(iii)
Sole power to dispose or direct the disposition of:
0
 
(iv)
Shared power to dispose or direct the disposition of:
620,000
 
Shawn Kimel Investments, Inc.
 
(a)
Amount beneficially owned:
620,000
(b)
Percent of class:
10.3%
(c)
Number of shares as to which the person has:
 
(i)
Sole power to vote or direct the vote:
0
 
(ii)
Shared power to vote or direct the vote:
620,000
 
(iii)
Sole power to dispose or direct the disposition of:
0
 
(iv)
Shared power to dispose or direct the disposition of:
620,000
 
As of the date hereof, the Fund beneficially owns 620,000 shares, representing approximately 10.3% of the issuer’s outstanding shares.  The Fund’s sole general partner is the GP and the general partner of the GP is GenPar 2009, the wholly-owned subsidiary of SKI.  100% of SKI is owned by Kimel.  Therefore, each of the GP, GenPar 2009, SKI, and Kimel may be deemed to beneficially own, in the aggregate, 620,000shares, representing approximately 10.3% the issuer’s outstanding shares.
 
Item 5.         Ownership of Five Percent or Less of a Class.
 
If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ].
 
Item 6.         Ownership of More Than Five Percent on Behalf of Another Person.
 
Not applicable.
 
Item 7.         Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
 
Not applicable.
 
Item 8.         Identification and Classification of Members of the Group.
 
Not applicable.
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 10 of 11 Pages
 
Item 9.         Notice of Dissolution of Group.
 
Not applicable.
 
Item 10.      Certification.
 
By signing below the undersigned certifies that, to the best of its or his knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
 
 

 
 
CUSIP No.  896697208
 
Schedule 13G
Page 11 of 11 Pages
 
SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Dated:  June 30, 2011

THE K2 PRINCIPAL FUND, L.P.
   
By:
K2 GENPAR L.P., its General Partner
   
By:
K2 GENPAR 2009 INC., its General Partner
   
By:
/s/ Shawn Kimel
 
Shawn Kimel
 
President
   
K2 GENPAR, L.P.
   
By:  K2 GENPAR 2009 INC., its General Partner
   
By:
/s/ Shawn Kimel
 
Shawn Kimel
 
President
   
K2 GENPAR 2009 INC.
   
By:
/s/ Shawn Kimel
 
Shawn Kimel
 
President
   
SHAWN KIMEL INVESTMENTS, INC.
   
By:
/s/ Shawn Kimel
 
Shawn Kimel
 
President
   
/s/ Shawn Kimel
Shawn Kimel, in his individual capacity