- Amended Statement of Ownership (SC 13G/A)
January 28 2010 - 5:25PM
Edgar (US Regulatory)
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UNITED
STATES
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SECURITIES
AND EXCHANGE COMMISSION
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Washington,
D.C. 20549
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SCHEDULE
13G/A
RULE
13d-102
Under
the Securities Exchange Act of 1934
(Amendment No. 13)*
(Name of Issuer)
(Title of Class of
Securities)
(CUSIP Number)
(Date of Event
Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
o
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Rule 13d-1(b)
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o
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Rule 13d-1(c)
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x
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Rule 13d-1(d)
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*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).
CUSIP No. 78464M 10 6
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1.
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Names of Reporting Persons
Thomas C.K. Yuen
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
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(a)
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x
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(b)
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o
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of America
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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5.
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Sole Voting Power
421,540
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6.
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Shared Voting Power
2,586,566
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7.
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Sole Dispositive Power
421,540
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8.
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Shared Dispositive Power
2,586,566
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person
3,008,106
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10.
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Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions)
o
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11.
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Percent of Class Represented
by Amount in Row (9)
20.4%
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12.
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Type of Reporting Person
(See Instructions)
IN
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2
CUSIP No. 78464M 10 6
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1.
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Names of Reporting Persons
Misako Yuen
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
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(a)
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x
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(b)
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o
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of America
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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5.
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Sole Voting Power
NONE
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6.
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Shared Voting Power
2,586,566
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7.
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Sole Dispositive Power
NONE
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8.
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Shared Dispositive Power
2,586,566
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person
2,586,566
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10.
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Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions)
o
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11.
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Percent of Class
Represented by Amount in Row (9)
17.8%
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12.
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Type of Reporting Person
(See Instructions)
IN
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3
CUSIP No. 78464M 10 6
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1.
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Names of Reporting Persons
Thomas Yuen Family Trust
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
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(a)
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x
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(b)
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o
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of America
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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5.
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Sole Voting Power
NONE
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6.
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Shared Voting Power
2,546,566
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7.
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Sole Dispositive Power
NONE
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8.
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Shared Dispositive Power
2,546,566
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person
2,546,566
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10.
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Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions)
o
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11.
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Percent of Class
Represented by Amount in Row (9)
17.5%
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12.
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Type of Reporting Person
(See Instructions)
OO
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4
Item
1
(
a).
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Name of Issuer:
SRS Labs, Inc.
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Item
1
(
b).
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Address of Issuers
Principal Executive Offices:
2909 Daimler Street, Santa
Ana, California 92705
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Item
2
(
a).
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Names of Persons Filing:
Thomas C.K. Yuen, Misako Yuen and the Thomas Yuen Family Trust
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Item
2
(
b).
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Address of Principal
Business Office or, if none, Residence:
SRS Labs, Inc.
2909 Daimler Street
Santa Ana, California
92705
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Item
2
(
c).
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Citizenship:
Thomas C.K. Yuen and Misako Yuen are citizens of the U.S.A., and the Thomas
Yuen Family Trust is a trust formed under the laws of the State of
California.
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Item
2
(
d).
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Title of Class of
Securities:
Common Stock
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Item
2
(
e).
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CUSIP Number:
78464M 10 6
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Item 3.
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If this statement is filed pursuant
to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is
a:
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(a)
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o
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Broker or dealer
registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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o
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Bank as defined in section
3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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o
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Insurance company as
defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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o
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Investment company
registered under section 8 of the Investment Company Act of 1940 (15 U.S.C
80a-8);
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(e)
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o
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An investment adviser in
accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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o
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An employee benefit plan
or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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o
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A parent holding company
or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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o
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A savings association as
defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.
1813);
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(i)
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o
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A church plan that is
excluded from the definition of an investment company under section 3(c)(14)
of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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o
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A non-U.S. institution in
accordance with § 240.13d1(b)(1)(ii)(J);
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(k)
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o
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Group, in accordance with
§ 240.13d1(b)(1)(ii)(K).
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Not Applicable.
5
Item 4.
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Ownership.
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As of December 31, 2009:
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(a)
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Amount beneficially owned:
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Thomas C.K. Yuen
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3,008,106
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Misako Yuen
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2,586,566
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Thomas Yuen Family Trust
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2,546,566
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(b)
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Percent of class:
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Thomas C.K. Yuen
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20.4%
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Misako Yuen
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17.8%
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Thomas Yuen Family Trust
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17.5%
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(c)
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Number of shares as to
which such person has:
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(i)
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Sole power to vote or to
direct the vote:
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Thomas C.K. Yuen
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421,540
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Misako Yuen
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0
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Thomas Yuen Family Trust
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0
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(ii)
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Shared power to vote or to
direct the vote:
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Thomas C.K. Yuen
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2,586,566
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Misako Yuen
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2,586,566
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Thomas Yuen Family Trust
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2,546,566
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(iii)
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Sole power to dispose or to
direct the disposition of:
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Thomas C.K. Yuen
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421,540
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Misako Yuen
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0
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Thomas Yuen Family Trust
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0
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(iv)
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Shared power to dispose or
to direct the disposition of:
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Thomas C.K. Yuen
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2,586,566
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Misako Yuen
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2,586,566
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Thomas Yuen Family Trust
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2,546,566
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The shares beneficially
owned by Thomas C.K. Yuen, Misako Yuen and the Thomas Yuen Family Trust
include 2,546,566 shares held by the Thomas Yuen Family Trust, of which Mr.
and Mrs. Yuen are co-trustees. The
shares beneficially owned by Thomas C.K. Yuen also include 168,750 shares
issuable to Mr. Yuen upon exercise of stock options that were outstanding as
of December 31, 2009 and were exercisable as of (or become exercisable within
60 days of) such date, and Mr. Yuens beneficial ownership of such shares is
subject to applicable community property laws. The shares beneficially owned by Thomas
C.K. Yuen and Misako Yuen also include 40,000 shares held by The Thomas and
Misako Yuen Family Foundation.
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6
Item 5.
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Ownership of Five Percent or Less
of a Class.
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If this statement is being filed to report the fact
that as of the date hereof the reporting person has ceased to be the
beneficial owner of more than five percent of the class of securities, check
the following.
o
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Item 6.
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Ownership of More than Five Percent
on Behalf of Another Person.
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Not applicable.
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Item 7.
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Identification and Classification
of the Subsidiary Which Acquired the Security Being Reported on By the Parent
Holding Company or Control Person.
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Not applicable.
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Item 8.
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Identification and Classification
of Members of the Group.
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This filing is on behalf of Thomas C.K. Yuen, Misako
Yuen and the Thomas Yuen Family Trust as members of a group pursuant to Rule
13d-1(d).
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Item 9.
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Notice of Dissolution of Group.
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Not applicable.
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7
Item 10.
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Certifications.
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Not applicable.
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SIGNATURE
After reasonable inquiry and to the best of my
knowledge and belief, I certify that the information set forth in this
statement is true, complete and correct.
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January
27, 2010
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(Date)
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/S/ THOMAS C.K. YUEN
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Thomas C.K. Yuen
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/S/ MISAKO YUEN
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Misako Yuen
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THOMAS YUEN FAMILY TRUST
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/S/ THOMAS C.K. YUEN
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By: Thomas C.K. Yuen
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Co-Trustee
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/S/ MISAKO YUEN
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By: Misako Yuen
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Co-Trustee
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8
EXHIBIT A
Joint Filing Agreement
This Joint Filing
Agreement is dated as of January 27, 2010 among Thomas C. K. Yuen, Misako
Yuen and the Thomas Yuen Family Trust.
WHEREAS, pursuant to Rule 240.13d-1(k) promulgated
under Section 13(d) of the Securities Exchange Act of 1934, as
amended (the Exchange Act), the parties hereto have decided to satisfy their
filing obligations under the Exchange Act by a single joint filing;
NOW THEREFORE, the
parties hereto agree as follows:
1. The Amendment No. 13 to Schedule 13G with respect
to SRS Labs, Inc. to which this agreement is attached as Exhibit A
(the Schedule 13G) is filed on behalf of each of the parties hereto.
2. Each of the parties hereto is eligible to use the
Schedule 13G.
3. Each of the parties hereto is responsible for the timely
filing of the Schedule 13G and any amendments thereto, and for the completeness
and accuracy of the information concerning such person or entity contained in
the Schedule 13G; provided that each person or entity is not responsible for
the completeness or accuracy of the information concerning any other person
making such filing contained in the Schedule 13G, unless such person or entity
knows or has reason to believe that such information is inaccurate.
IN WITNESS WHEREOF, the
parties hereto have executed this Joint Filing Agreement as of the date first
above written.
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/S/
THOMAS C.K. YUEN
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Thomas C.K. Yuen
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/S/
MISAKO YUEN
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Misako Yuen
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THOMAS YUEN FAMILY
TRUST
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/S/
THOMAS C.K. YUEN
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By: Thomas C.K. Yuen
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Co-Trustee
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/S/
MISAKO YUEN
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By: Misako Yuen
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Co-Trustee
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