FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
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ZEFF DANIEL |
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2. Issuer Name and Ticker or Trading Symbol TRIO TECH INTERNATIONAL [TRT]
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5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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__X__ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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50 CALIFORNIA STREET, SUITE 1500 |
3. Date of Earliest Transaction (Month/Day/Year) 10/03/2006 |
SAN FRANCISCO, CA 94111 |
4. If Amendment, Date Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock (1) | 10/03/2006 |
| P |
| 1,900 (2) | D |
$10.5 | 180,953 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 200 (2) | D |
$10.51 | 180,753 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 100 (2) | D |
$10.55 | 180,653 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 1,500 (2) | D |
$10.6 | 179,153 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 1,500 (2) | D |
$10.61 | 177,653 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 400 (2) | D |
$10.62 | 177,253 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 100 (2) | D |
$10.64 | 177,153 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 800 (2) | D |
$10.65 | 176,353 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 100 (2) | D |
$10.67 | 176,253 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 700 (2) | D |
$10.7 | 175,553 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 1,100 (2) | D |
$10.74 | 174,453 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 900 (2) | D |
$10.75 | 173,553 | I | See footnote (2) |
Common Stock (1) | 10/03/2006 |
| P |
| 95 (2) | D |
$10.81 | 173,458 | I | See footnote (2) |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5)
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6. Date Exercisable and Expiration Date (Month/Day/Year)
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7. Title and Amount of Underlying Securities (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Reporting Owners
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ZEFF DANIEL 50 CALIFORNIA STREET SUITE 1500 SAN FRANCISCO, CA 94111 |
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X
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Zeff Holding Company, LLC 50 CALIFORNIA STREET SAN FRANCISCO, CA 94111 |
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X
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Zeff Capital Partners I, L.P. C/O ZEFF HOLDING COMPANY, LLC 50 CALIFORNIA STREET SAN FRANCISCO, CA 94111 |
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X
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Spectrum Galaxy Fund Ltd. 50 CALIFORNIA STREET SUITE 1500 SAN FRANCISCO, CA 94111 |
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X
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Signatures
Daniel Zeff | |
10/04/2006 |
**Signature of Reporting Person | Date |
Daniel Zeff for Zeff Capital Partners I, L.P. | |
10/04/2006 |
**Signature of Reporting Person | Date |
Dion R. Friedland for Spectrum Galaxy Fund Ltd. | |
10/04/2006 |
**Signature of Reporting Person | Date |
Daniel Zeff for Zeff Holding Company, LLC | |
10/04/2006 |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Form 4 is being filed by Daniel Zeff, Spectrum Galaxy Fund Ltd. ("Spectrum"), Zeff Capital Partners I, L.P. ("Capital") and Zeff Holding Company, LLC ("Holding") |
(2) | This transaction was effected through Spectrum. Mr. Zeff provides discretionary investment management services to Zeff Capital Offshore Fund, a class of shares of Spectrum, a company incorporated in the British Virgin Islands. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Spectrum is reported herein. Mr. Zeff disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. 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 over all shares held by Spectrum. |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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