-----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, VBx30Y1npDUJbCSCWP3jnC6SFEexU3d/h4+fC/zdTmLEWxQ3pTiSPGH3mg5ZCzpQ 3quuJ0hu/F9g11o/Z4zmkA== /in/edgar/work/20001102/0000898430-00-003225/0000898430-00-003225.txt : 20001106 0000898430-00-003225.hdr.sgml : 20001106 ACCESSION NUMBER: 0000898430-00-003225 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001102 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRIO TECH INTERNATIONAL CENTRAL INDEX KEY: 0000732026 STANDARD INDUSTRIAL CLASSIFICATION: [3674 ] IRS NUMBER: 952086631 STATE OF INCORPORATION: CA FISCAL YEAR END: 0625 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-38082 FILM NUMBER: 752124 BUSINESS ADDRESS: STREET 1: 355 PARKSIDE DR CITY: SAN FERNANDO STATE: CA ZIP: 91340 BUSINESS PHONE: 8183659200 MAIL ADDRESS: STREET 1: 355 PARKSIDE DRIVE CITY: SAN FERNANDO STATE: CA ZIP: 91340 424B3 1 0001.txt PROSPECTUS SUPPLEMENT DATED OCTOBER 31, 2000 FILED PURSUANT TO RULE 424(b)(3) REGISTRATION STATEMENT NO. 333-38082 PROSPECTUS SUPPLEMENT NO. 1 (TO PROSPECTUS DATED JUNE 15, 2000) TRIO-TECH INTERNATIONAL 686,350 Shares of Common Stock This Prospectus Supplement No. 1 supplements information contained in our Prospectus dated June 15, 2000 (the "Prospectus") relating to the potential sale of up to 686,350 shares of the common stock of Trio-Tech International by the Selling Securityholders. This Prospectus Supplement is not complete without, and may not be delivered or utilized except in connection with, the Prospectus. Capitalized terms used herein but not defined have the meanings assigned to such terms in the Prospectus. The following table is substituted in its entirety for the table set forth on pages 9 through 12 of the Prospectus under the caption "Selling Securityholders" to reflect certain additions and deletions of holders and to reflect changes in the holdings of certain of the persons listed below:
Before Offering Number of After Offering ----------------------- Shares ---------------------------- Number of Being Offered Number of Shares ------------- Shares Selling Beneficially Beneficially Securityholders Owned(1) Percent(2) Owned(1)(3) Percent (2) - ----------------------------------------- ------------ ---------- ------------- ------------ The Leonard & Joyce Wilstein Revocable 27,600 1.0% 9,200 18,400 * Trust of 1986 Ron J. Wilstein 11,040 * 3,680 7,360 * 1994 Gary & Kathryn Wilstein 11,040 * 3,680 7,360 * 1994 Revocable Trust UAD 9/28/94 Susan Wilstein 23,460 * 7,820 15,640 * The Denise Wilstein Trust of 1985 27,370 1.0 11,730 15,640 * The Century Trust Dated 12/19/94 28,980 1.0 12,420 16,560 * David Wilstein 32,200 1.1 13,800 18,400 * Andrew D. Gilmour, Inc. 12,880 * 5,520 7,360 * Watson Investment Partners, LP 22,080 * 7,360 14,720 * TRTC Acquisition, LLC 16,836 * 5,612 11,224 * Paulson Partners 8,280 * 2,760 5,520 * Fong Kan Sin(6) 45,765 1.6 2,760 43,005 1.5 Chang Geok Lan 5,520 * 1,840 3,680 * Soh Theng Tat 5,520 * 1,840 3,680 * Low Leng Kwee 6,440 * 2,760 3,680 *
1
Before Offering Number of After Offering ----------------------- Shares ---------------------------- Number of Being Offered Number of Shares ------------- Shares Selling Beneficially Beneficially Securityholders Owned(1) Percent(2) Owned(1)(3) Percent (2) - ----------------------------------------- ------------ ---------- ------------- ------------ BHC Securities Inc. C/F SDIRA 5,520 * 1,840 3,680 * SEP Richard C. Ross Three Sticks Fund, LP 110,400 3.8 36,800 73,600 2.5 Richard Adelman 16,100 * 7,820 8,280 * Tan Sim Seng 30,360 1.0 10,120 20,240 * Robert L. Ciano 11,040 * 3,680 7,360 * Soon Siew Kuan(7) 33,120 1.1 11,040 22,080 * Lim Hwee Poh(8) 46,445 1.6 6,440 40,005 1.4 Simon Costello(4) 39,961 1.4 7,450 32,241 1.1 Lee A. Levine 41,400 1.4 13,800 27,600 * John N. McVey 5,520 * 1,840 3,680 * C and C Capital Partnership 6,900 * 2,300 4,600 * Camille Claudel Corporation 5,520 * 1,840 3,680 * Gene Salkind 20,700 * 6,900 13,800 * Linda Argenziano 6,900 * 2,300 4,600 * Anthony Abramo 5,520 * 1,840 3,680 * Leonard Brawer & Alan Brawer JTWROS 6,900 * 2,300 4,600 * Leonard Brawer & Sari Kaplan JTWROS 6,900 * 2,300 4,600 * Ventana Partners, L.P. 84,020 2.9 34,340 49,680 1.7 Stephen S. Kutz 31,740 1.1 10,580 21,160 * Arthur Rogovin & Sandra Rogovin JTIC 6,072 * 2,024 4,048 * Page Distributing Co. Inc. 11,040 * 3,680 7,360 * Nancy E. Levine 28,846 1.0 19,646 9,200 * Frank S. Gavin(5) 87,076 3.0 8,280 78,796 2.7 George Plaut 6,900 * 2,300 4,600 * Edward V. Wilkinson 5,520 * 1,840 3,680 * Nations Bank of Texas, N.A., custodian 46,920 1.6 15,640 31,280 1.1 for Aurora Foundation Lai Keet Yee 11,040 * 3,680 7,360 * Delaware Charter Gty & Trust FBO 61,180 2.1 26,220 34,960 1.2 Jack Gilbert Richard Cullen 7,245 * 805 6,440 * Joan F. Bick 8,050 * 3,450 4,600 * Sheila Ann Sidlett Gunther 5,520 * 1,840 3,680 * Harold Mervin Holland and Renee 5,520 * 1,840 3,680 * Gindi Holland Trust UDT 4/27/88 Robert Ginberg 6,762 * 2,254 4,508 * Leonard Levine 3,450 * 1,150 2,300 * Orrin Devinsky 13,800 * 4,600 9,200 * Suraj Puri 11,040 * 3,680 7,360 *
2
Number of Shares Before Offering Being Offered After Offering -------------------------- -------------- ---------------------------- Number of Number of Shares Shares Selling Beneficially Beneficially Securityholders Owned(1) Percent(2) Owned(1)(3) Percent (2) - ----------------------------------------- ------------ ---------- ------------ --------------- Amy Cook Gavin 6,900 * 2,300 4,600 * Samuel Louis Horowitz 13,800 * 4,600 9,200 * Michael Aaron Horowitz 13,800 * 4,600 9,200 * John S. Byers 5,520 * 1,840 3,680 * Generation Capital Associates 26,220 * 8,740 17,480 * Thomas W. Larson 13,800 * 4,600 9,200 * Robert Kirk 11,040 * 3,680 7,360 * Tony DiPiero (9) 112,500 3.9 112,500 0 * Jason Adelman (10) 57,565 2.0 37,565 20,000 * Spencer F. Segura 13,125 * 13,125 0 * William P. Dioguardi 5,250 * 5,250 0 * Laura M. McNamara 1,575 * 1,575 0 * Oshkim Limited Partners, L.P. 2,625 * 2,625 0 * Spencer Trask Holdings 16,800 * 16,800 0 * Paragon Capital Corporation 15,000 * 15,000 0 * Frank Argenziano 8,967 * 8,967 0 * Susan Kutz 1,048 * 1,048 0 * Roger Franklin 4,719 * 4,719 0 * Danny Levine 17,950 * 17,950 0 * Jody Levine 14,880 * 14,880 0 * Marc Levine 17,950 * 17,950 0 * Scott Levine 14,880 * 14, 880 0 * Martin Kelly 1,610 * 1,610 0 * Brian Massy 805 * 805 0 * Victor Ting (11) 103,302 3.6 600 102,702 3.5 Hare & CO c/o The Bank of New York 6,900 * 6,900 0 * ------- TOTAL 686,350 =======
______________ * less than 1.0% (1) Pursuant to the rules promulgated under the Exchange Act, a person is deemed to be the beneficial owner of a security if that person has the right to acquire ownership of such security within 60 days. Accordingly, the numbers in the columns above include the shares offered hereby which are issuable upon exercise of the warrants or option, as the case may be. (2) Based on 2,896,066 shares of common stock outstanding as of the date of this prospectus supplement. Shares of common stock that a person has the right to acquire within 60 days after the date of this prospectus supplement are deemed to be outstanding in calculating the percentage ownership of that person, but are not deemed to be outstanding as to any other person. (3) The table assumes that each of the selling securityholders will dispose of all shares that are being registered for sale by the Prospectus. (4) Mr. Costello is an employee of Trio-Tech International and holds the position of Corporate Vice- President-U.S.A. and Europe Operations. (5) Mr. Gavin is a director of Trio-Tech International. 3 (6) Mr. Fong is an employee of Trio-Tech International and holds the position of Corporate Vice-President-Distribution. (7) Mrs. Lee is an employee of Trio-Tech International and holds the position of Group Logistics Manager. (8) Mr. Lim is an employee of Trio-Tech International and holds the position of Corporate Vice-President-Testing. (9) Mr. DiPiero is an employee of Trio-Tech International and holds the position of President of Universal Systems, a subsidiary of Trio-Tech International. (10) Mr. Adelman was an employee of both Spencer Trask Securities Incorporated and Paragon Capital Corporation at the time of the issuance to those entities of the warrants described above. Mr. Adelman is a director of Trio-Tech International and has served in that capacity since April 1997. (11) Mr. Ting is an employee of Trio-Tech International and holds the position of Vice-President and Chief Financial Officer. All information in this Prospectus Supplement is as of October 31, 2000. THE DATE OF THIS PROSPECTUS SUPPLEMENT IS OCTOBER 31, 2000 4 -----END PRIVACY-ENHANCED MESSAGE-----