-----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, Eh5GZrgEh17i5dUVtVGmOCH7TqULCy335eBsD4/clIdToBHByWsDQMun0Bw5jGui nf2O+mcQRzXJGejmS0CPxg== 0000912057-99-010463.txt : 19991224 0000912057-99-010463.hdr.sgml : 19991224 ACCESSION NUMBER: 0000912057-99-010463 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19991223 GROUP MEMBERS: DIRK PATRICK J GROUP MEMBERS: MARY J. DIRK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TROY GROUP INC CENTRAL INDEX KEY: 0001060595 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER & OFFICE EQUIPMENT [3570] IRS NUMBER: 330699672 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-57335 FILM NUMBER: 99779744 BUSINESS ADDRESS: STREET 1: 2331 SOUTH PULLMAN STREET CITY: SANTA ANA STATE: CA ZIP: 92705 BUSINESS PHONE: 7142503280 MAIL ADDRESS: STREET 1: 2331 SOUTH PULLMAN STREET CITY: SANTA ANA STATE: CA ZIP: 92705 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DIRK PATRICK J CENTRAL INDEX KEY: 0001101527 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2331 SOUTH PULLMAN STREET CITY: SANTA ANA STATE: CA ZIP: 92705 BUSINESS PHONE: 9492503280 MAIL ADDRESS: STREET 1: 2331 SOUTH PULLMAN STREET CITY: SANTA ANA STATE: CA ZIP: 92705 SC 13G 1 SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Troy Group, Inc. ---------------- (Name of Issuer) Common Stock, $.01 par value ---------------------------- (Title of Class of Securities) 89733N 10 6 ----------- (CUSIP Number) July 21, 1999 ------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) / / Rule 13d-1(c) /X/ Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. 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 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 7 - ----------------------- ---------------- CUSIP NO. 89733N 10 6 SCHEDULE 13G Page 2 of 7 - ----------------------- ---------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Patrick J. Dirk - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Not Applicable (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY ---------------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 5,684,857 PERSON WITH ---------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 5,684,857 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,684,857 - -------------------------------------------------------------------------------- 10 CHECK BOX If THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 53.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 7 - ----------------------- ---------------- CUSIP NO. 89733N 10 6 SCHEDULE 13G Page 3 of 7 - ----------------------- ---------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Mary J. Dirk - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Not Applicable (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY ---------------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 5,684,857 PERSON ---------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 5,684,857 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,684,857 - -------------------------------------------------------------------------------- 10 CHECK BOX If THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 53.3% - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Page 3 of 7 Item 1(a). NAME OF ISSUER: The name of the issuer is Troy Group, Inc. (the "Issuer"). Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: The address of the principal executive office of the Issuer is 2331 South Pullman Street, Santa Ana, California 92705. Item 2(a). NAME OF PERSONS FILING: Patrick J. Dirk and Mary J. Dirk are collectively referred to herein as the "Reporting Persons." Item 2(b). ADDRESS OR PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The principal business address of each of the Reporting Persons is c/o Troy Group, Inc., 2331 South Pullman Street, Santa Ana, California 92705. Item 2(c). CITIZENSHIP: The Reporting Persons are citizens of the United States of America. Item 2(d). TITLE OF CLASS OF SECURITIES: The class of equity securities to which this Statement relates is the common stock, $.01 par value, of the Issuer (the "Common Stock"). Item 2(e). CUSIP NUMBER: The CUSIP number of the Common Stock is 89733N 10 6. Item 3. If this Statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the filing person is a: (a) / / Broker or Dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act"). (b) / / Bank as defined in Section 3(a)(6) of the Act. (c) / / Insurance Company as defined in Section 3(a)(19) of the Act. (d) / / Investment Company registered under Section 8 of the Investment Company Act of 1940. (e) / / Investment Advisor registered under Section 203 of the Investment Advisers Act of 1940. (f) / / Employee Benefit Plan, Pension Fund which is subject to the Page 4 of 7 provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) of the Act. Item 4. OWNERSHIP: (a) Amount beneficially owned: Each of the Reporting Persons beneficially own 5,684,857 shares that they hold as trustees under The Dirk Family Trust UTD March 6, 1990. (b) Percent of class: 53.3%. (c) Number of shares as to which the Reporting Persons have: (i) Sole power to vote or to direct the vote..... 0 (ii) Shared power to vote or to direct the vote... 5,684,857 (iii) Sole power to dispose or to direct the disposition of............................... 0 (iv) Shared power to dispose or to direct the disposition of............................... 5,684,857 Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not Applicable. Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Not Applicable. Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable. Item 9. NOTICE OF DISSOLUTION OF GROUP: Not Applicable. Item 10. CERTIFICATION: Not Applicable. Page 5 of 7 SIGNATURE After reasonable inquiry and to the best of their knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: December 13, 1999. /s/ Patrick J. Dirk - ---------------------------------- Patrick J. Dirk /s/ Mary J. Dirk - ---------------------------------- Mary J. Dirk Page 6 of 7 EX-1 2 EXHIBIT 1 EXHIBIT I JOINT FILING AGREEMENT This will confirm the agreement by and among each of the undersigned that the Schedule 13G filed on or about this date with respect to the beneficial ownership of the undersigned of the shares of Common Stock, par value $.01 per share, of Troy Group, Inc. is being filed on behalf of each of the undersigned. Dated: December 13, 1999 /s/ Patrick J. Dirk ------------------------------ Patrick J. Dirk /s/ Mary J. Dirk ------------------------------ Mary J. Dirk -----END PRIVACY-ENHANCED MESSAGE-----