-----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, LTeti5Ikq0qgf1klsrOGmmmtWTdlRhpFXFDG11+ExyXp8Nmtrlyso6FBkrlFbPg/ BOsvcevDf+WvEr7gUeVYqA== 0001209191-06-055044.txt : 20061017 0001209191-06-055044.hdr.sgml : 20061017 20061017185353 ACCESSION NUMBER: 0001209191-06-055044 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060106 FILED AS OF DATE: 20061017 DATE AS OF CHANGE: 20061017 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: HOROWITZ RICHARD M CENTRAL INDEX KEY: 0001247606 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-14523 FILM NUMBER: 061149575 MAIL ADDRESS: STREET 1: 9301 WILSHIRE BOULEVARD #206 CITY: BEVERLY HILLS STATE: CA ZIP: 90210 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0202 4/A 2006-01-06 2006-01-10 0 0000732026 TRIO TECH INTERNATIONAL TRT 0001247606 HOROWITZ RICHARD M 9301 WILSHIRE BOULEVARD #615 BEVERLY HILLS CA 90210 1 0 0 0 TRT Common Stock 2006-01-06 4 M 0 5000 2.72 A 5000 D TRT Common Stock 2006-01-06 4 M 0 5000 2.25 A 10000 D TRT Common Stock 2006-01-06 4 M 0 5000 2.66 A 15000 D TRT Common Stock 2006-01-06 4 M 0 5000 4.40 A 20000 D TRT Common Stock 2006-01-06 4 M 0 5000 3.75 A 25000 D TRT Common Stock 2006-01-06 5 G 0 E 25000 0.00 D 0 D TRT Common Stock 2006-01-06 5 G 0 E 25000 0.00 A 232101 I By Trust TRT Common Stock 4600 I By IRA Stock Option (Right to Buy) 2.72 2006-01-06 4 M 0 5000 2.72 D 2001-10-16 2006-10-16 TRT Common Stock 5000 0 D Stock Option (Right to Buy) 2.25 2006-01-06 4 M 0 5000 2.25 D 2002-07-16 2007-07-16 TRT Common Stock 5000 0 D Stock Option (Right to Buy) 2.66 2006-01-06 4 M 0 5000 2.66 D 2003-07-14 2008-07-14 TRT Common Stock 5000 0 D Stock Option (Right to Buy) 4.40 2006-01-06 4 M 0 5000 4.40 D 2004-07-01 2009-07-01 TRT Common Stock 5000 0 D Stock Option (Right to Buy) 3.75 2006-01-06 4 M 0 5000 3.75 D 2005-07-07 2010-07-07 TRT Common Stock 5000 0 D The Form 4 filed on January 10, 2006 is being amended for the following reasons: (a) the original Form 4 inadvertantly failed to reflect that, while the shares acquired upon exercise of the Rule 16b-3 options (which transactions were timely reported) were directly acquired by the reporting person, the reporting person immediately transferred those shares by gift to his living trust, which trust may be revoked as to such shares only with the consent of both the reporting person and his spouse; and (b) the original Form 4 inadvertantly indicated that 240,701 shares were beneficially owned following the reported transactions directly by the reporting person whne in fact (I) 4,600 shares should have been shown as held indirectly through an individual retirement account of the spouse of the reporting person, (II) 232,101 shares should have been reported as held by the above-described trust and (III) the remaining 4,000 shares were mistakenly taken into account when (footnote 1 of 2) (footnote 2 of 2) such shares had previously been sold (the sale of which had been previously timely reported). Thus, following teh transactions, the Form 4 should have reported that 232,101 shares were held indirectly by the reporting person through his living trust and 4,600 shares were held indirectly by the reporting person in an IRA for his spouse. The reporting person discloses beneficial ownership of the shares held by his spouse's IRA. Richard Horowitz 2006-10-17 -----END PRIVACY-ENHANCED MESSAGE-----