SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):
January 17, 2013
TRIO MERGER CORP.
(Exact Name of Registrant as Specified in
|(State or Other Jurisdiction
777 Third Avenue, 37th Floor, New York,
New York 10017
(Address of Principal Executive Offices)
(Registrant’s Telephone Number, Including
(Former Name or Former Address, if Changed
Since Last Report)
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2. below):
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e 4(c))
TRIO MERGER CORP. (“TRIO”) INTENDS TO HOLD PRESENTATIONS
FOR CERTAIN OF ITS STOCKHOLDERS, AS WELL AS OTHER PERSONS WHO MIGHT BE INTERESTED IN PURCHASING TRIO SECURITIES, REGARDING ITS
MERGER WITH SAEXPLORATION HOLDINGS, INC. (“SAE”), AS DESCRIBED IN TRIO’S CURRENT REPORT ON FORM 8-K FILED ON
DECEMBER 11, 2012. THIS CURRENT REPORT ON FORM 8-K, INCLUDING SOME OR ALL OF THE EXHIBITS HERETO, MAY BE DISTRIBUTED TO PARTICIPANTS
AT OR PRIOR TO SUCH PRESENTATIONS.
EARLYBIRDCAPITAL, INC. (“EBC”), THE MANAGING UNDERWRITER
OF TRIO’S INITIAL PUBLIC OFFERING (“IPO”) CONSUMMATED IN JUNE 2011, IS ACTING AS TRIO’S INVESTMENT BANKER
IN THESE EFFORTS, FOR WHICH IT WILL RECEIVE A FEE OF $2,415,000. TRIO AND ITS DIRECTORS AND EXECUTIVE OFFICERS AND EBC MAY BE DEEMED
TO BE PARTICIPANTS IN THE SOLICITATION OF PROXIES FOR THE SPECIAL MEETING OF TRIO STOCKHOLDERS TO BE HELD TO APPROVE THE MERGER.
STOCKHOLDERS OF TRIO AND OTHER INTERESTED PERSONS ARE ADVISED
TO READ, WHEN AVAILABLE, TRIO’S PRELIMINARY PROXY STATEMENT/INFORMATION STATEMENT AND DEFINITIVE PROXY STATEMENT/INFORMATION
STATEMENT IN CONNECTION WITH TRIO’S SOLICITATION OF PROXIES FOR THE SPECIAL MEETING BECAUSE THESE PROXY STATEMENTS/INFORMATION
STATEMENTS WILL CONTAIN IMPORTANT INFORMATION. SUCH PERSONS CAN ALSO READ TRIO’S FINAL PROSPECTUS, DATED JUNE 21, 2011, AND
TRIO’S ANNUAL REPORT ON FORM 10-K FOR THE FISCAL YEAR ENDED DECEMBER 31, 2011, FOR A DESCRIPTION OF THE SECURITY HOLDINGS
OF THE TRIO OFFICERS AND DIRECTORS AND OF EBC AND THEIR RESPECTIVE INTERESTS AS SECURITY HOLDERS IN THE SUCCESSFUL CONSUMMATION
OF THE MERGER. THE DEFINITIVE PROXY STATEMENT/INFORMATION STATEMENT WILL BE MAILED TO STOCKHOLDERS AS OF A RECORD DATE TO BE ESTABLISHED
FOR VOTING ON THE MERGER. STOCKHOLDERS WILL ALSO BE ABLE TO OBTAIN A COPY OF THE DEFINITIVE PROXY STATEMENT/INFORMATION STATEMENT,
WITHOUT CHARGE, BY DIRECTING A REQUEST TO: TRIO MERGER CORP., 777 THIRD AVENUE, 37TH FLOOR, NEW YORK, NEW YORK 10017.
THE PRELIMINARY PROXY STATEMENT/INFORMATION STATEMENT AND THE DEFINITIVE PROXY STATEMENT/INFORMATION STATEMENT, ONCE AVAILABLE,
AND THE FINAL PROSPECTUS AND ANNUAL REPORT ON FORM 10-K CAN ALSO BE OBTAINED, WITHOUT CHARGE, AT THE SECURITIES AND EXCHANGE COMMISSION’S
INTERNET SITE (http://www.sec.gov).
SAE’S FINANCIAL INFORMATION AND DATA CONTAINED HEREIN
AND IN THE EXHIBITS HERETO ARE UNAUDITED AND/OR WERE PREPARED BY SAE AS A PRIVATE COMPANY AND DO NOT CONFORM TO SEC REGULATION
S-X. FURTHERMORE, THEY INCLUDE CERTAIN FINANCIAL INFORMATION (EBITDA) NOT DERIVED IN ACCORDANCE WITH UNITED STATES GENERALLY ACCEPTED
ACCOUNTING PRINCIPLES (“GAAP”). ACCORDINGLY, SUCH INFORMATION AND DATA WILL BE ADJUSTED AND PRESENTED DIFFERENTLY IN
TRIO’S PRELIMINARY AND DEFINITIVE PROXY STATEMENTS/INFORMATION STATEMENTS TO SOLICIT STOCKHOLDER APPROVAL OF THE MERGER.
TRIO AND SAE BELIEVE THAT THE PRESENTATION OF NON-GAAP MEASURES PROVIDES INFORMATION THAT IS USEFUL TO INVESTORS AS IT INDICATES
MORE CLEARLY THE ABILITY OF SAE TO MEET CAPITAL EXPENDITURES AND WORKING CAPITAL REQUIREMENTS AND OTHERWISE MEET ITS OBLIGATIONS
AS THEY BECOME DUE.
ADDITIONAL INFORMATION AND FORWARD-LOOKING STATEMENTS
This report and the
exhibits hereto are not a proxy statement or solicitation of a proxy, consent or authorization with respect to any securities or
in respect of the proposed transaction and shall not constitute an offer to sell or a solicitation of an offer to buy the securities
of Trio or SAE, nor shall there be any sale of any such securities in any state or jurisdiction in which such offer, solicitation,
or sale would be unlawful prior to registration or qualification under the securities laws of such state or jurisdiction.
This report and the
exhibits hereto include “forward-looking statements” within the meaning of the safe harbor provisions of the U.S. Private
Securities Litigation Reform Act of 1995. SAE’s actual results may differ from its expectations, estimates and projections
and, consequently, you should not rely on these forward looking statements as predictions of future events. Words such as “expect,”
“estimate,” “project,” “budget,” “forecast,” “anticipate,” “intend,”
“plan,” “may,” “will,” “could,” “should,” “believes,” “predicts,”
“potential,” “continue,” and similar expressions are intended to identify such forward-looking statements.
These forward-looking statements include, without limitation, Trio’s and SAE’s expectations with respect to future
performance, anticipated financial impacts of the merger and related transactions; approval of the merger and related transactions
by security holders; the satisfaction of the closing conditions to the merger and related transactions; and the timing of the completion
of the merger and related transactions.
statements involve significant risks and uncertainties that could cause the actual results to differ materially from the expected
results. Most of these factors are outside the parties’ control and difficult to predict. Factors that may cause such differences
include: business conditions; weather and natural disasters; changing interpretations of GAAP; outcomes of government reviews;
inquiries and investigations and related litigation; continued compliance with government regulations; legislation or regulatory
environments, requirements or changes adversely affecting the business in which SAE is engaged; fluctuations in customer demand;
management of rapid growth; intensity of competition from other providers of SEISMIC ACQUISITION services; general economic conditions;
and geopolitical events and regulatory changes. Other factors include the possibility that the merger does not close, including
due to the failure to receive required security holder approvals, or the failure of other closing conditions.
The foregoing list of
factors is not exclusive. Additional information concerning these and other risk factors is contained in Trio’s most recent
filings with the SEC. All subsequent written and oral forward-looking statements concerning Trio and SAE, the merger, the related
transactions or other matters and attributable to Trio and SAE or any person acting on their behalf are expressly qualified in
their entirety by the cautionary statements above. Readers are cautioned not to place undue reliance upon any forward-looking statements,
which speak only as of the date made. Neither Trio nor SAE undertake or accept any obligation or undertaking to release publicly
any updates or revisions to any forward-looking statement to reflect any change in their expectations or any change in events,
conditions or circumstances on which any such statement is based.
Item 7.01 Regulation
The presentation attached as Exhibit 99.1
to this Current Report may be used by Trio Merger Corp. (“Trio”) as public relations material as well as for meetings
with its stockholders and other interested persons in connection with its proposed business combination with SAExploration Holdings,
On January 16, 2013, Trio and SAE issued a
joint press release announcing that they will present at Noble Financial Capital Markets’ Ninth Annual Equity Conference.
A copy of the press release is attached to this Current Report as Exhibit 99.2.
The information in this Current Report, including
the exhibits attached hereto, is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the
Securities Exchange Act of 1934 or otherwise subject to the liabilities of that Section. The information in this Current Report
shall not be incorporated by reference into any registration statement pursuant to the Securities Act of 1933.
Item 9.01 Financial Statements, Pro Forma Financial Information
| || ||
| || ||
|99.2|| ||Press release.
Pursuant to the requirements
of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
Dated: January 17, 2013
||TRIO MERGER CORP.|
||/s/ David Sgro|
||Name: David Sgro|
Title: Chief Financial Officer