-----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, UBxbCDUVdOA+vWTt19wY7Z0bDn4s2+Ztbh2wu2iI4wFNSPIbtXM1Li6WFey84StD a9LVF2zJIWxECFx/LfAecQ== 0000950159-06-001480.txt : 20061106 0000950159-06-001480.hdr.sgml : 20061106 20061106183536 ACCESSION NUMBER: 0000950159-06-001480 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20061013 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: 061191641 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: 061191642 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: 061191643 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: 061191644 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 2006-10-13 2006-10-16 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 2006-10-13 4 S 0 90 11.41 D 173368 I See footnote Common Stock 2006-10-13 4 S 0 150 11.42 D 173218 I See footnote Common Stock 2006-10-13 4 S 0 180 11.45 D 173038 I See footnote Common Stock 2006-10-13 4 S 0 120 11.50 D 172918 I See footnote Common Stock 2006-10-13 4 S 0 30 11.51 D 172888 I See footnote Common Stock 2006-10-13 4 S 0 270 11.52 D 172618 I See footnote Common Stock 2006-10-13 4 S 0 270 11.55 D 172348 I See footnote Common Stock 2006-10-13 4 S 0 180 11.56 D 172168 I See footnote Common Stock 2006-10-13 4 S 0 150 11.59 D 172018 I See footnote Common Stock 2006-10-13 4 S 0 630 11.60 D 171388 I See footnote Common Stock 2006-10-13 4 S 0 90 11.61 D 171298 I See footnote Common Stock 2006-10-13 4 S 0 30 11.62 D 171268 I See footnote Common Stock 2006-10-13 4 S 0 60 11.63 D 171208 I See footnote Common Stock 2006-10-13 4 S 0 30 11.69 D 171178 I See footnote Common Stock 2006-10-13 4 S 0 120 11.70 D 171058 I See footnote This Amended Form 4 amends and supplements that Form 4 originally filed with the Securities and Exchange Commission on 10/16/06 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 Spectrum. Zeff provides discretionary investment management services to Zeff Capital Offshore Fund, a class of shares of Spectrum. The entire amount of the Issuer's securities held by Spectrum is reported herein. Zeff disclaims, for purposes of Section 16, beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. This report shall not be deemed an admission that 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 of all securities held by Spectrum. As of the end of the Transaction Date reported herein, Zeff also indirectly beneficially owns 200,392 shares of TRT common stock through Capital. Zeff is the sole manager and member of Zeff Holding Company, LLC, which serves as the general partner for Capital." Daniel Zeff 2006-11-06 Daniel Zeff for Zeff Capital Partners I, L.P. 2006-11-06 Daniel Zeff for Zeff Holding Company, LLC 2006-11-06 Dion R. Friedland for Spectrum Galaxy Fund Ltd. 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 13, 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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