Amended Statement of Beneficial Ownership (sc 13d/a)
23 Gennaio 2013 - 12:01PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D/A
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)
Under the Securities Exchange Act of 1934
(Amendment No. 1)
SPECTRUM GROUP INTERNATIONAL, INC.
_____________________________________________________________________________
(NAME OF ISSUER)
Common Stock, Par Value $0.01 Per Share
_____________________________________________________________________________
(Title of Class of Securities)
84763M102
_____________________________________________________________________________
(CUSIP NUMBER)
Gregory N. Roberts
c/o Spectrum Group International, Inc.
1063 McGaw
Irvine, CA 92614
(949) 748-4800
_____________________________________________________________________________
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 28, 2012
_____________________________________________________________________________
(Date of event which requires filing of this statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g) check the following box [ ]
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the “Act”), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
|
|
|
|
|
|
|
|
|
|
|
1
|
NAME OF REPORTING PERSONS
Gregory N. Roberts
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
o
(b)
x
|
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
PF
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
o
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
170,000
1
|
|
8
|
SHARED VOTING POWER
3,555,580
|
|
9
|
SOLE DISPOSITIVE POWER
170,000
1
|
|
10
|
SHARED DISPOSITIVE POWER
3,555,580
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,725,580
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.0%
|
|
14
|
TYPE OF REPORTING PERSON
IN
|
|
|
|
|
1
|
Represents 170,000 shares that the Reporting Person has the right to acquire under currently exercisable options.
|
|
|
|
|
|
|
|
|
|
|
|
1
|
NAME OF REPORTING PERSONS
Sharon Roberts
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
o
(b)
x
|
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
PF
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
o
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
|
8
|
SHARED VOTING POWER
439,825
|
|
9
|
SOLE DISPOSITIVE POWER
0
|
|
10
|
SHARED DISPOSITIVE POWER
439,825
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
439,825
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
|
|
14
|
TYPE OF REPORTING PERSON
IN
|
|
|
|
|
|
|
|
|
|
|
|
1
|
NAME OF REPORTING PERSONS
William A. Richardson
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
o
(b)
x
|
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
PF
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
o
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
935,163
|
|
8
|
SHARED VOTING POWER
3,115,755
|
|
9
|
SOLE DISPOSITIVE POWER
935,163
|
|
10
|
SHARED DISPOSITIVE POWER
3,115,755
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,050,918
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.1%
|
|
14
|
TYPE OF REPORTING PERSON
IN
|
|
|
|
|
|
|
|
|
|
|
|
1
|
NAME OF REPORTING PERSONS
Silver Bow Ventures LLC
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
o
(b)
x
|
|
3
|
SEC USE ONLY
|
|
4
|
SOURCE OF FUNDS
WC
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
o
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Nevada
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
3,115,755
|
|
8
|
SHARED VOTING POWER
0
|
|
9
|
SOLE DISPOSITIVE POWER
3,115,755
|
|
10
|
SHARED DISPOSITIVE POWER
0
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,115,755
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.1%
|
|
14
|
TYPE OF REPORTING PERSON
OO
|
AMENDMENT NO. 1 TO SCHEDULE 13D
This Amendment No. 1 to Schedule 13D amends and supplements the Schedule 13D dated as of, and filed with the Securities and Exchange Commission on, October 5, 2012. Capitalized terms used herein which are not defined herein have the meanings given to such terms in the Schedule 13D. Except as otherwise provided herein, all Items of the Schedule 13D remain unchanged.
|
|
|
|
|
|
Item 5.
|
Interest in Securities of the Issuer
|
(a), (b) and (c). On December 28, 2012, William A. Richardson disposed of beneficial ownership of 804,117 shares of Common Stock by gifting such shares to his adult children. Following such transactions, Mr. Richardson has beneficial ownership of 4,050,918 shares of Common Stock, which represents approximately 13.1% of the shares of Common Stock outstanding. This includes 935,163 shares as to which William A. Richardson has sole voting and dispositive power; and 3,115,755 shares owned directly by Silver Bow Ventures LLC as to which Gregory N. Roberts shares voting and dispositive power with William A. Richardson.
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
Date: January 22, 2012
|
|
|
|
|
|
|
/s/ Gregory N. Roberts
|
|
|
Gregory N. Roberts
|
|
|
|
|
|
|
|
|
|
|
/s/ Sharon Roberts
|
|
|
Sharon Roberts
|
|
|
|
|
|
|
|
|
|
|
/s/ William A. Richardson
|
|
|
William A. Richardson
|
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Gregory N. Roberts
|
|
Name:
|
Gregory N. Roberts
|
|
Title:
|
Member
|
Grafico Azioni Spectrum (CE) (USOTC:SPGZ)
Storico
Da Feb 2025 a Mar 2025
Grafico Azioni Spectrum (CE) (USOTC:SPGZ)
Storico
Da Mar 2024 a Mar 2025
