-----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, QzuDXh9MXFnttkwFev1H43qBRr3JpUxRNpoXdv3Cx2/437iix34VCt4myQvW7OSU C7oEMdEtRSZlEWvbZmeXaQ== 0000950159-06-001474.txt : 20061106 0000950159-06-001474.hdr.sgml : 20061106 20061106182932 ACCESSION NUMBER: 0000950159-06-001474 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20061020 FILED AS OF DATE: 20061106 DATE AS OF CHANGE: 20061106 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 14731 CALIFA STREET CITY: VAN NUYS STATE: CA ZIP: 91411 BUSINESS PHONE: 818-787-7000 MAIL ADDRESS: STREET 1: 14731 CALIFA STREET CITY: VAN NUYS STATE: CA ZIP: 91411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spectrum Galaxy Fund Ltd. CENTRAL INDEX KEY: 0001313253 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-14523 FILM NUMBER: 061191601 BUSINESS ADDRESS: STREET 1: 9 COLUMBUS CENTER STREET 2: PELICAN DRIVE CITY: ROAD TOWN, TORTOLA STATE: D8 ZIP: D8 BUSINESS PHONE: 415-439-5273 MAIL ADDRESS: STREET 1: 50 CALIFORNIA STREET STREET 2: SUITE 1500 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zeff Capital Partners I, L.P. CENTRAL INDEX KEY: 0001311996 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-14523 FILM NUMBER: 061191602 BUSINESS ADDRESS: STREET 1: C/O ZEFF HOLDING COMPANY, LLC STREET 2: 50 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 439-5273 MAIL ADDRESS: STREET 1: C/O ZEFF HOLDING COMPANY, LLC STREET 2: 50 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zeff Holding Company, LLC CENTRAL INDEX KEY: 0001311997 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-14523 FILM NUMBER: 061191603 BUSINESS ADDRESS: STREET 1: 50 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 439-5273 MAIL ADDRESS: STREET 1: 50 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ZEFF DANIEL CENTRAL INDEX KEY: 0001271640 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-14523 FILM NUMBER: 061191604 BUSINESS ADDRESS: STREET 1: 50 CALIFORNIA STREET STREET 2: SUITE 1500 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4154395273 4/A 1 zeff4_ex.xml X0202 4/A 2006-10-20 2006-10-23 0 0000732026 TRIO TECH INTERNATIONAL TRT 0001271640 ZEFF DANIEL 50 CALIFORNIA STREET SUITE 1500 SAN FRANCISCO CA 94111 0 0 1 0 0001311997 Zeff Holding Company, LLC 50 CALIFORNIA STREET SAN FRANCISCO CA 94111 0 0 1 0 0001311996 Zeff Capital Partners I, L.P. C/O ZEFF HOLDING COMPANY, LLC 50 CALIFORNIA STREET SAN FRANCISCO CA 94111 0 0 1 0 0001313253 Spectrum Galaxy Fund Ltd. 50 CALIFORNIA STREET SUITE 1500 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2006-10-20 4 S 0 115 10.70 D 193647 I See footnote Common Stock 2006-10-20 4 S 0 1000 10.71 D 192647 I See footnote Common Stock 2006-10-20 4 S 0 1100 10.74 D 191547 I See footnote This Amended Form 4 amends and supplements that Form 4 originally filed with the Securities and Exchange Commission on 10/23/06 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. This transaction was effected through Capital. Mr. Zeff is the sole manager and member of Holding, which in turn serves as the general partner for Capital. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Capital is reported herein. Each of Mr. Zeff and Holding disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Zeff or Holding is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Spectrum disclaims beneficial ownership over all shares held through Capital. Zeff also indirectly beneficially owns 169,138 shares of TRT common stock through Spectrum. Zeff provides discretionary investment management services to Zeff Capital Offshore Fund, a class of shares of Spectrum. Daniel Zeff 2006-11-06 Daniel Zeff for Zeff Capital Partners I, L.P. 2006-11-06 Dion R. Friedland for Spectrum Galaxy Fund Ltd. 2006-11-06 Daniel Zeff for Zeff Holding Company, LLC 2006-11-06 EX-99 2 ex99.txt EXHIBIT 99 Exhibit 99 Information Regarding Joint Filers Designated Filer of Form 4: Daniel Zeff Date of Earliest Transaction Required to be Reported: October 20, 2006 Issuer Name and Ticker Symbol: Trio Tech International (TRT) Names: Zeff Holding Company, LLC, Zeff Capital Partners I, L.P. and Spectrum Galaxy Fund Ltd. Address: 50 California Street Suite 1500 San Francisco, CA 94111 Signatures: The undersigned, Zeff Holding Company, LLC, Zeff Capital Partners I, L.P. and Spectrum Galaxy Fund Ltd., are jointly filing the attached Statement of Changes in Beneficial Ownership of Securities on Form 4 with Daniel Zeff with respect to the beneficial ownership of securities of Trio Tech International.

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