Statistiche di base
| CIK | 895516 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Spectrum Group International, Inc.
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| May 19, 2014 |
SC 13E3/A 1 sgixschedulex13e-3xamendm.htm SC 13E3/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER (Amendment No. 5) Spectrum Group International, Inc. (Name of the Issuer and Name of Person Filing Statement) Common Stock, $0.01 par value per share (Titl |
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| May 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 1-11988 Spectrum Group International, Inc. (Exact name of registrant as spec |
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| May 12, 2014 |
CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION SPECTRUM GROUP INTERNATIONAL, INC. CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF SPECTRUM GROUP INTERNATIONAL, INC. |
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| May 12, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2014 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (C |
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| April 23, 2014 |
8-K 1 sgi8-kxsothx4x23x14.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 21, 2014 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction |
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| April 18, 2014 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER (Amendment No. |
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| April 17, 2014 |
SPGZ / Spectrum Group International Inc. / KAMIN PETER H Passive Investment SC 13G 1 eps5625.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Amendment No.)* Spectrum Group International, Inc. - (Name of Issuer) Common Stock, $0.01 par value - (Title of Class of Securities) 563823103 - (CUSIP Number) April 16, 2014 - (Date of Event Which Requires Filing of this Statement) Check |
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| April 14, 2014 |
DEF 14A 1 spgzsc14aformtypedef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 3) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: Preliminary proxy statement þ Definitive proxy statement ¨ Confidential, F |
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| April 8, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 20, 2014 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organizat |
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| April 8, 2014 |
EX-16 2 ex16sgifor8-kafiled2014x0.htm EXHIBIT Exhibit 16. KPMG LLP Suite 700 20 Pacifica Irvine, CA 92618-3391 April 7, 2014 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Spectrum Group International, Inc. (SGI) and, under the date of October 15, 2013, we reported on the consolidated financial statements of SGI as of an |
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| April 8, 2014 |
SPECTRUM GROUP INTERNATIONAL, INC. 1063 McGaw Irvine, California 92614 April 8, 2014 VIA EDGAR Ms. Jennifer Thompson Accounting Branch Chief Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Spectrum Group International, Inc. Item 5.02 and 9.01 Form 8-K Filed February 26, 2014 File No. 001-11988 Dear Ms. Thompson: On behalf |
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| April 3, 2014 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER (Amendment No. |
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| April 3, 2014 |
PRER14A 1 spgzsc14aprer14axamendmen.htm PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 3) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: þ Preliminary proxy statement ¨ Definitive proxy statement ¨ Confidentia |
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| April 2, 2014 |
SPECTRUM GROUP INTERNATIONAL, INC. April 2, 2014 VIA EDGAR Ms. Mara L. Ransom Assistant Director Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Spectrum Group International, Inc. Preliminary Revised Proxy Statement on Schedule 14A Filed March 19, 2014 File No. 001‑11988 Amendment No. 2 to Schedule 13E‑3 Filed March 28, 20 |
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| March 28, 2014 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER (Amendment No. |
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| March 19, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 18, 2014 |
SPECTRUM GROUP INTERNATIONAL, INC. March 18, 2014 VIA EDGAR Ms. Mara L. Ransom Assistant Director Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Spectrum Group International, Inc. Preliminary Revised Proxy Statement on Schedule 14A Filed February 7, 2014 File No. 001‑11988 Amendment No. 1 to Schedule 13E‑3 Filed February |
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| March 18, 2014 |
EX-10.1 2 ex101resignationjb.htm EXHIBIT Exhibit 10.1 March 14, 2014 Mr. Gregory Roberts President and CEO Spectrum Group International, Inc. 1063 McGaw Irvine, California 92614 Dear Greg: Please accept this letter as my resignation from the board of directors of Spectrum Group International, Inc. (the “Company”), effective upon the spinoff from the Company of its subsidiary A-Mark Precious Metals |
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| March 18, 2014 |
8-K 1 spgz8-kbenjaminx3x14x14xx.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 14, 2014 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdi |
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| March 12, 2014 |
EXHIBIT 99.2 March 12, 2014 – FOR IMMEDIATE RELEASE SPECTRUM GROUP INTERNATIONAL, INC. ANNOUNCES FINAL DISTRIBUTION DATE OF SPINOFF OF A-MARK PRECIOUS METALS, INC. IRVINE, Calif., March 12, 2014 (BUSINESSWIRE) – Spectrum Group International, Inc. (OTCQB:SPGZ) (“SGI” or the “Company”) announced today that its previously disclosed spinoff of A-Mark Precious Metals, Inc. (“A-Mark”), its precious meta |
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| March 12, 2014 |
Financial Statements and Exhibits, Other Events 8-K 1 spgz8-kxsgixdistributiond.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 12, 2014 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdi |
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| March 12, 2014 |
EXHIBIT 99.1 SPECTRUM GROUP INTERNATIONAL, INC. ANNOUNCES APPROVAL OF NASDAQ LISTING APPLICATION FOR ITS SUBSIDIARY A-MARK PRECIOUS METALS, INC. IRVINE, Calif., March 11, 2014 (BUSINESSWIRE) – Spectrum Group International, Inc. (OTCQB:SPGZ) (“SGI” or the “Company”) announced today that the NASDAQ Listing Qualifications Department has approved the application of SGI’s subsidiary, A-Mark Precious Me |
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| February 28, 2014 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Joint Filing Agreement The undersigned agree that the foregoing Statement on Schedule 13D/A, dated February 26, 2014, is being filed with the Securities and Exchange Commission on behalf of each of the undersigned pursuant to Rule 13d-1(k). Dated: February 27, 2014 AFINSA BIENES TANGIBLES S.A. EN LIQUIDACION By: /s/ Javier Díaz-Gálvez de la Cámara Name |
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| February 28, 2014 |
SC 13D/A 1 f225140sc13da24.htm AMENDMENT NO. 24 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 24) SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE (Title of Class of Securities) 563823103 (CUSIP Number) Spencer D. Klein Morrison & Foerster LLP 1290 Avenue of t |
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| February 27, 2014 |
8-K 1 spgz8kxafinsax2x27x14.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 26, 2014 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdic |
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| February 27, 2014 |
EX-10.1 2 ex101spgzxpurchaseagreeme.htm EXHIBIT 10.1 EXHIBIT 10.1 PURCHASE AGREEMENT by and among Afinsa Bienes Tangibles, S.A. En Liquidación, Auctentia, S.L., Spectrum Group International, Inc. and A-Mark Precious Metals, Inc. Dated as of February 26, 2014 PURCHASE AGREEMENT This PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of February 26, 2014, by and among Afinsa Bienes Ta |
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| February 27, 2014 |
EX-99.1 3 ex991spgzxprx02x27x14xafi.htm EXHIBIT 99.1 PRESS RELEASE Exhibit 99.1 FEBRUARY 27, 2014 – FOR IMMEDIATE RELEASE SPECTRUM GROUP INTERNATIONAL, INC. ANNOUNCES AGREEMENT TO PURCHASE REMAINING STOCK HELD BY AFINSA DISTRIBUTION DATE OF SPINOFF EXPECTED TO OCCUR IN EARLY MARCH IRVINE, Calif., February 27, 2014 (BUSINESSWIRE) – Spectrum Group International, Inc. (OTCQB:SPGZ) (“SGI” or the “Comp |
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| February 26, 2014 |
8-K 1 a8-kxbdox02x21x14xsgi.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 20, 2014 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdic |
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| February 26, 2014 |
EX-16 2 exhibit16sgi.htm EXHIBIT Exhibit 16. KPMG LLP Suite 700 20 Pacifica Irvine, CA 92618-3391 February 25, 2014 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Spectrum Group International, Inc. (SGI) and, under the date of October 15, 2013, we reported on the consolidated financial statements of SGI as of and for the |
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| February 19, 2014 |
SPGZ / Spectrum Group International Inc. / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 84763M102 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| February 14, 2014 |
Exhibit 10.1 Spectrum Group International, Inc. AMENDMENT No. 1 TO GREGORY N. ROBERTS EMPLOYMENT AGREEMENT (As Amended and Restated as of February 14, 2013) This Amendment No. 1 to that certain Employment Agreement, as amended and restated as of February 14, 2013) (this "Amendment") is entered into between SPECTRUM GROUP INTERNATIONAL, INC., a Delaware corporation (the "Company"), and GREGORY N. R |
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| February 14, 2014 |
Exhibit 10.3 TAX SEPARATION AGREEMENT THIS TAX SEPARATION AGREEMENT (this “Agreement”) is entered into as of February 12, 2014 between SPECTRUM GROUP INTERNATIONAL, INC., a Delaware corporation (“SGI”), and A-MARK PRECIOUS METALS, INC., a New York corporation and wholly owned subsidiary of SGI (“AMPMI,” and together with SGI, the “Parties”). Capitalized terms used in this Agreement and not otherwi |
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| February 14, 2014 |
SEPARATION AND DISTRIBUTION AGREEMENT Exhibit 2.1 SEPARATION AND DISTRIBUTION AGREEMENT THIS SEPARATION AND DISTRIBUTION AGREEMENT (the “Agreement”) is made and entered into as of February 12, 2014, by and between SPECTRUM GROUP INTERNATIONAL, INC., a Delaware corporation (“SGI”) and A-MARK PRECIOUS METALS, INC., a Delaware corporation and a wholly-owned subsidiary of SGI (“A-Mark”). Capitalized terms used and not otherwise defined in |
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| February 14, 2014 |
Exhibit 10.2 SECONDMENT AGREEMENT THIS SECONDMENT AGREEMENT (the “Agreement”) is made on February 12, 2014, by and between A-MARK PRECIOUS METALS, INC., a Delaware corporation (“A-Mark”), and SPECTRUM GROUP INTERNATIONAL, INC., a Delaware corporation (“SGI”). WHEREAS, A-Mark has agreed that it will assist SGI by seconding two of its employees, Gregory N. Roberts and Carol Meltzer (together, the “S |
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| February 14, 2014 |
SPGZ 12.31.13 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2013 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission Fil |
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| February 7, 2014 |
SC 13E3/A 1 schedule13e-3amendment1xx.htm SC 13E3/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER (Amendment No. 1) Spectrum Group International, Inc. (Name of the Issuer and Name of Person Filing Statement) Common Stock, $0.01 par value per share (Titl |
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| February 7, 2014 |
EX-99.1 2 exhibitciischedule13d.htm EX (C)II CONFIDENTIAL Member FINRA/SIPC Presentation to the Board of Directors of: October 23, 2013 DRAFT 2 CONFIDENTIAL This presentation was compiled on a confidential basis for use solely by the Board of Directors (the “Board”) of Spectrum Group International, Inc. ( “Parent”) in evaluating the proposed transactions described herein, and may not be used or re |
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| February 7, 2014 |
EX-99.1 2 ex991-proxycard.htm EXHIBIT (C)II SPECTRUM GROUP INTERNATIONAL, INC. PROXY CARD YOUR VOTE IS IMPORTANT. PLEASE VOTE TODAY. We encourage you to take advantage of Internet voting. It is available 24 hours a day, 7 days a week. VOTE BY INTERNET – WWW.VOTEPROXY.COM Use the Internet to transmit your voting instructions up until 11:59 P.M. Eastern Time the day prior to the special meeting date |
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| February 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 6, 2014 |
February 6, 2014 VIA EDGAR Ms. Mara L. Ransom Assistant Director Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Spectrum Group International, Inc. Preliminary Proxy Statement on Schedule 14A Filed December 9, 2013 File No. 001‑11988 Schedule 13E‑3 Filed December 16, 2013 File No. 005‑51355 Dear Ms. Ransom: On behalf of Sp |
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| January 13, 2014 |
January 13, 2014 VIA EDGAR Ms. Jennifer Thompson Accounting Branch Chief Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, DC 20549 Re: Spectrum Group International, Inc. Annual Report on Form 10-K for Fiscal Year Ended June 30, 2013 Filed October 15, 2013 Amendment No. 1 to Annual Report on Form 10-K for Fiscal Year Ended June 30, 2013 Fi |
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| December 16, 2013 |
schedule13e3 CONFIDENTIAL Member FINRA/SIPC Presentation to the Board of Directors of: November 12, 2013 2 CONFIDENTIAL This presentation was compiled on a confidential basis for use solely by the Board of Directors (the “Board”) of Spectrum Group International, Inc. |
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| December 16, 2013 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER Spectrum Group International, Inc. |
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| December 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant χ Check the appropriate box: þ Preliminary proxy statement ¨ Definitive proxy statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 Spectrum Group International, Inc. |
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| November 14, 2013 |
10-Q 1 spgz9301310-q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Co |
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| October 28, 2013 |
Spectrum Group International 10-K/A (Annual Report) SPGZ 06.30.13 10-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2013 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number |
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| October 21, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 15, 2013 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization |
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| October 15, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934For the fiscal year ended June 30, 2013 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPECTRUM GROUP |
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| October 15, 2013 |
Exhibit 21 Subsidiaries of Registrant (all 100% owned except where indicated) Name of Subsidiary Jurisdiction of Incorporation A-Mark Precious Metals, Inc. |
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| September 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 Commission File Number 1-11988 CUSIP Number 84763M NOTIFICATION OF LATE FILING (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2013 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K as a re |
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| May 14, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPEC |
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| May 2, 2013 |
8-K 1 a8-k2013sbapurchase.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 30, 2013 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction |
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| February 19, 2013 |
EXHIBIT 10.1 Spectrum Group International, Inc. EMPLOYMENT AGREEMENT As Amended and Restated as of February 14, 2013 This Employment Agreement (this "Agreement") is an amendment and restatement as of February 14, 2013 of that Employment Agreement originally dated December 28, 2007 and most recently amended and restated as of May 13, 2010, and is between SPECTRUM GROUP INTERNATIONAL, INC., a Delawa |
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| February 19, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a2013gregrobertsemployment.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 14, 2013 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jur |
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| February 13, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2012 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 S |
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| January 23, 2013 |
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) 8 |
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| December 19, 2012 |
SPECTRUM GROUP INTERNATIONAL, INC. AMENDMENT TO BYLAWS EX-3.2 2 exhibit32amendmenttobylaws.htm AMENDMENT TO BYLAWS EXHIBIT 3.2 SPECTRUM GROUP INTERNATIONAL, INC. AMENDMENT TO BYLAWS The following resolutions of the Board set forth the Amendment to the Bylaws effective December 13, 2012: WHEREAS, Article 2.14(b) of the Company's By-laws provides as follows: “The Chairman of the Board or the Chief Executive Officer will be an ex officio member with full |
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| December 19, 2012 |
SPECTRUM GROUP INTERNATIONAL, INC. 2012 Stock Award And Incentive Plan EX-10.1 3 exhibit1012012stockawardan.htm 2012 STOCK AWARD AND INCENTIVE PLAN EXHIBIT 10.1 SPECTRUM GROUP INTERNATIONAL, INC. 2012 Stock Award And Incentive Plan 1. Purpose of the Plan. The purpose of this 2012 Stock Award and Incentive Plan (the "Plan") is to aid Spectrum Group International, Inc., a Delaware corporation (the "Company"), in attracting, retaining, motivating and rewarding employees |
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| December 19, 2012 |
8-K 1 a12132012annualmeetingresu.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 13, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jur |
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| November 16, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 14, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organizatio |
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| November 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| November 14, 2012 |
8-K 1 a10-14x2012bylawamendment.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other juri |
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| November 14, 2012 |
SPECTRUM GROUP INTERNATIONAL, INC. AMENDMENT TO BYLAWS EX-3.2 2 exhibit32sgibylaw.htm EXHIBIT EXHIBIT 3.2 SPECTRUM GROUP INTERNATIONAL, INC. AMENDMENT TO BYLAWS The following resolutions of the Board set forth the Amendment to the Bylaws effective Nov. 12, 2012: RESOLVED, that, pursuant to the Board's authority under Article 9 of the Certificate of Incorporation of Spectrum Group International, Inc. to amend the Company's By-laws, the Board hereby ame |
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| November 13, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 |
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| October 12, 2012 |
Tel: 714-957-3200 3200 Bristol St., 4th Floor EX-16 2 bdoletter.htm EXHIBIT EXHIBIT 16 Tel: 714-957-3200 3200 Bristol St., 4th Floor Fax: 714-957-1080 Costa Mesa, CA 92626 www.bdo.com October 10, 2012 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 We have been furnished with a copy of the response to Item 4.01 of Form 8-K for the event that occurred on October 8, 2012, to be filed by our former client, Spectrum Gr |
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| October 12, 2012 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 8-K 1 changeofauditor.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 11, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of |
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| October 10, 2012 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Joint Filing Agreement The undersigned agree that the foregoing Statement on Schedule 13D/A, dated October 2, 2012, is being filed with the Securities and Exchange Commission on behalf of each of the undersigned pursuant to Rule 13d-1(k). Dated: October 2, 2012 AFINSA BIENES TANGIBLES S.A. EN LIQUIDACION By: /s/ Javier Díaz-Gálvez de la Cámara Name: Ja |
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| October 10, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 23) SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE (Title of Class of Securities) 563823103 (CUSIP Number) Spencer D. Klein Morrison & Foerster LLP 1290 Avenue of the Americas New York New York 10104 (212) 468-80 |
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| October 5, 2012 |
SPGZ / Spectrum Group International Inc. / ROBERTS GREGORY N - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (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 SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 84763M102 (CUSIP NUMB |
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| October 5, 2012 |
Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to file with the Securities and Exchange Commission jointly on behalf of each of them the Statement on Schedule 13D with respect to the securities of Spectrum Group International, Inc. to which this Joint Filing Agreement is attached as an ex |
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| October 5, 2012 |
SPGZ / Spectrum Group International Inc. / Anderson Charles C - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (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 SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 84763M102 (CUSIP NUMB |
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| October 5, 2012 |
EX-99.1 2 v325212ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to file with the Securities and Exchange Commission jointly on behalf of each of them the Statement on Schedule 13D with respect to the securities of Spectrum Group International, Inc. to which this Jo |
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| October 5, 2012 |
SPGZ / Spectrum Group International Inc. / BENJAMIN JEFFREY D - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (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 SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 84763M102 (CUSIP NUMB |
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| October 2, 2012 |
Spectrum Group Announces New Appointments to its Board of Directors EX-9.1 2 joelandelliselectedtothebo.htm PRESS RELEASE EXHIBIT 99.1 Spectrum Group Announces New Appointments to its Board of Directors IRVINE, Calif. - October 2, 2012 - Spectrum Group International, Inc. (SPGZ) announced today that its Board of Directors, on the recommendation of the Nominating Committee, has voted to appoint Joel R. Anderson and Ellis Landau to fill vacancies on its Board of Dir |
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| October 2, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 27, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organizati |
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| September 27, 2012 |
Exhibit 21 Subsidiaries of Registrant (all 100% owned except where indicated) Name of Subsidiary Jurisdiction of Incorporation A-Mark Precious Metals, Inc. |
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| September 27, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934For the fiscal year ended June 30, 2012 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPECTRUM GROUP |
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| September 26, 2012 |
8-K 1 afinsaclosing.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 25, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of |
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| September 26, 2012 |
Exhibit 10.1 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is entered into as of September 25, 2012, by and among Spectrum Group International, Inc., a Delaware limited liability company (the “Company”), and each of the persons appearing as an investor on the signature pages hereto (the “Holders”). RECITALS WHEREAS, the Company has entered into agreements (the |
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| September 26, 2012 |
Exhibit 99.1 Spectrum Group Closes Purchase of Shares from Major Stockholder; Rights Offering and Private Placement Also Consummated IRVINE, Calif. - September 26, 2012 - Spectrum Group International, Inc. (SPGZ) announced today that on September 25, 2012 it consummated the purchase from Afinsa Bienes Tangibles, S.A. En Liquidacion, and its wholly owned subsidiary Auctentia, S.L., of an aggregate |
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| September 20, 2012 |
Financial Statements and Exhibits, Other Events - EXTENSION OF RIGHTS OFFERING SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 20, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organizati |
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| September 20, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 22) SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE (Title of Class of Securities) 563823103 (CUSIP Number) Spencer D. Klein Morrison & Foerster LLP 1290 Avenue of the Americas New York New York 10104 (212) 468-80 |
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| September 20, 2012 |
Spectrum Group International Extends Rights Offering Expiration Date to Friday, September 21, 2012 EX-99.1 2 exh991-fourthextensionrigh.htm PRESS RELEASE Exhibit 99.1 Spectrum Group International Extends Rights Offering Expiration Date to Friday, September 21, 2012 IRVINE, Calif. - September 20, 2012 - Spectrum Group International, Inc. (SPGZ) announced today that it has extended the expiration date for its rights offering from Thursday, September 20, 2012 to Friday, September 21, 2012. The sub |
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| September 20, 2012 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Joint Filing Agreement The undersigned agree that the foregoing Statement on Schedule 13D/A, dated September 20, 2012, is being filed with the Securities and Exchange Commission on behalf of each of the undersigned pursuant to Rule 13d-1(k). Dated: September 20, 2012 AFINSA BIENES TANGIBLES S.A. EN LIQUIDACION By: /s/ Javier Díaz-Gálvez de la Cámara Na |
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| September 18, 2012 |
Up to 19,713,523 Shares of Common Stock Issuance Upon Exercise of the Subscription Rights Filed Pursuant to Rule 424(b)(3) Registration No. 333-180214 PROSPECTUS SUPPLEMENT TO PROSPECTUS DATED AUGUST 1, 2012 Up to 19,713,523 Shares of Common Stock Issuance Upon Exercise of the Subscription Rights This prospectus supplement supplements the prospectus dated August 1, 2012, relating to an aggregate of 19,713,523 shares of common stock, par value $0.01 per share, of Spectrum Group Internat |
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| September 18, 2012 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 18, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organizati |
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| September 18, 2012 |
Spectrum Group International Announces Amendment to Securities Purchase Agreement EXHIBIT 99.1 Spectrum Group International Announces Amendment to Securities Purchase Agreement IRVINE, Calif. - September 18, 2012 - Spectrum Group International, Inc. (SPGZ) announced today that it has entered into an amendment to the securities purchase agreement with Afinsa Bienes Tangibles, S.A. En Liquidacion, and its wholly owned subsidiary Auctentia, S.L. with respect to the purchase of Afi |
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| September 18, 2012 |
Amendment No. 3 to SECURITIES PURCHASE AGREEMENT Exhibit 10.1 Amendment No. 3 to SECURITIES PURCHASE AGREEMENT This Amendment No. 3 (this “Amendment”) is made as of the 17th day of September, 2012 by and among Afinsa Bienes Tangibles, S.A. En Liquidación, a Spanish corporation (“Afinsa”), Auctentia, S.L., a Spanish corporation (“Auctentia” and together with Afinsa, the “Selling Stockholders”), and Spectrum Group International, Inc., a Delaware c |
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| September 17, 2012 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 thirdextensionofrightsoffe.htm 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 14, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other ju |
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| September 17, 2012 |
Amendment No. 2 to SECURITIES PURCHASE AGREEMENT EXHIBIT 10.1 Amendment No. 2 to SECURITIES PURCHASE AGREEMENT This Amendment No. 2 (this “Amendment”) is made as of the 14th day of September, 2012 by and among Afinsa Bienes Tangibles, S.A. En Liquidación, a Spanish corporation (“Afinsa”), Auctentia, S.L., a Spanish corporation (“Auctentia” and together with Afinsa, the “Selling Stockholders”), and Spectrum Group International, Inc., a Delaware c |
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| September 17, 2012 |
EXHIBIT 99.1 Spectrum Group International Extends Rights Offering Expiration Date to Thursday, September 20, 2012; Amendment to Securities Purchase Agreement; Sale of Stamp Division IRVINE, Calif. - September 14, 2012 - Spectrum Group International, Inc. (SPGZ) announced today that it has extended the expiration date for its rights offering from Thursday, September 13, 2012 to Thursday, September |
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| September 7, 2012 |
Spectrum Group International Extends Rights Offering Expiration Date to Thursday, September 13, 2012 EXHIBIT 99.1 Spectrum Group International Extends Rights Offering Expiration Date to Thursday, September 13, 2012 IRVINE, Calif. - September 6, 2012 - Spectrum Group International, Inc. (SPGZ) announced today that it has extended the expiration date for its rights offering from Thursday, September 6, 2012 to Thursday, September 13, 2012. The transferable subscription rights issued by the Company m |
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| September 7, 2012 |
Financial Statements and Exhibits, Other Events 8-K 1 secondextensionafinsa.htm PRESS RELEASE ANNOUNCING THE EXTENSION OF THE RIGHTS OFFERING SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 6, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its cha |
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| August 31, 2012 |
Spectrum Group International Extends Rights Offering Expiration Date to Thursday, September 6, 2012 EX-99.1 2 rightsofferingextensionpre.htm PRESS RELEASE DATED AUGUST 30, 2012 Spectrum Group International Extends Rights Offering Expiration Date to Thursday, September 6, 2012 IRVINE, Calif. - August 30, 2012 - Spectrum Group International, Inc. (SPGZ) announced today that it has extended the expiration date for its rights offering. The transferable subscription rights issued by the Company may n |
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| August 31, 2012 |
Financial Statements and Exhibits, Other Events SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 30, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) |
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| August 20, 2012 |
8-K 1 a8kbonus2012.htm BOARD APPROVED BONUS PAYMENTS TO EXECUTIVE OFFICERS FOR FYE 2012 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 14, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) De |
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| August 10, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 7, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) |
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| August 1, 2012 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-180214 PROSPECTUS Up to 19,713,523 Shares of Common Stock Issuable Upon Exercise of the Subscription Rights Spectrum Group International, Inc. is distributing at no charge to the holders of our common stock, par value $0.01 per share (other than Afinsa Bienes Tangibles, S.A. En Liquidacion, or “Afinsa,” and Auctentia, S.L., or “Auctentia”), tra |
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| July 30, 2012 |
CORRESP 1 filename1.htm Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 July 30, 2012 VIA EDGAR AND FEDERAL EXPRESS Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, DC 20549 Attn: Mara Ransom, Assistant Director Re: Spectrum Group International, Inc. Amendment No. 5 to Registration Statement on Form S-1 Filed July 25, 2012 File No. 333 |
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| July 27, 2012 |
Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 Exhibit 99.2 Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 [·], 2012 Dear Stockholder: Enclosed are the prospectus dated [·], 2012 (the “Prospectus”) and other materials relating to the rights offering by Spectrum Group International, Inc. (the “Company”). Please carefully review the Prospectus, which describes how you can participate in the rights offering. You will be able to ex |
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| July 27, 2012 |
EX-99.3 8 b319532ex99-3.htm EXHIBIT 99.3 Exhibit 99.3 SPECTRUM GROUP INTERNATIONAL, INC. 19,717.023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00 P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. [·], 2012 To: Securities Dealers, Commercial Banks, Trust Companies, and Other Nominees This lett |
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| July 27, 2012 |
CORRESP 14 filename14.htm Kramer Levin Naftalis & Frankel LLP Abbe L. Dienstag Partner Phone 212-715-9280 Fax 212-715-8280 [email protected] July 27, 2012 VIA EDGAR AND FEDERAL EXPRESS Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, DC 20549 Attn: Mara Ransom, Assistant Director Re: Spectrum Group International, Inc. Amendment No. 5 to Regis |
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| July 27, 2012 |
As filed with the Securities and Exchange Commission on July 27, 2012 Registration No. |
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| July 27, 2012 |
INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE EX-99.1 6 b319532ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE The following instructions relate to a rights offering (the “Rights Offering”) by Spectrum Group International, Inc., a Delaware corporation (the “Company”), to the holders of its common stock, par value $0.01 per share (“Common Stock”), as described in t |
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| July 27, 2012 |
Exhibit 99.4 SPECTRUM GROUP INTERNATIONAL, inc. 19,717,023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. To Our Clients: We are sending this letter to you because we hold shares of Spectrum Group International, Inc. (the “Company”) common stock |
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| July 24, 2012 |
CORRESP 13 filename13.htm Kramer Levin Naftalis & Frankel LLP Abbe L. Dienstag Partner Phone 212-715-9280 Fax 212-715-8280 [email protected] July 24, 2012 VIA EDGAR AND FEDERAL EXPRESS Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, DC 20549 Attn: Mara Ransom, Assistant Director Re: Spectrum Group International, Inc. Amendment No. 3 to Regis |
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| July 24, 2012 |
Exhibit 99.4 SPECTRUM GROUP INTERNATIONAL, inc. 19,717,023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. To Our Clients: We are sending this letter to you because we hold shares of Spectrum Group International, Inc. (the “Company”) common stock |
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| July 24, 2012 |
CORRESP 14 filename14.htm Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 July 24, 2012 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street Washington, D.C. 20549 Attention: Angie Kim, Esq. Re: Spectrum Group International, Inc. (the “Registrant”) Registration Statement on Form S-1 Filed March 19, 2012 (File No. 333-180214) Dear Ms |
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| July 24, 2012 |
As filed with the Securities and Exchange Commission on July 24, 2012 Registration No. |
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| July 24, 2012 |
Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 Exhibit 99.2 Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 [·], 2012 Dear Stockholder: Enclosed are the prospectus dated [·], 2012 (the “Prospectus”) and other materials relating to the rights offering by Spectrum Group International, Inc. (the “Company”). Please carefully review the Prospectus, which describes how you can participate in the rights offering. You will be able to ex |
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| July 24, 2012 |
Exhibit 99.3 SPECTRUM GROUP INTERNATIONAL, INC. 19,717.023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00 P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. [·], 2012 To: Securities Dealers, Commercial Banks, Trust Companies, and Other Nominees This letter is being distributed to securities dea |
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| July 24, 2012 |
INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE EX-99.1 4 b319234ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE The following instructions relate to a rights offering (the “Rights Offering”) by Spectrum Group International, Inc., a Delaware corporation (the “Company”), to the holders of its common stock, par value $0.01 per share (“Common Stock”), as described in t |
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| July 5, 2012 |
Kramer Levin Naftalis & Frankel LLP Abbe L. Dienstag Partner Phone 212-715-9280 Fax 212-715-8280 [email protected] July 5, 2012 VIA EDGAR AND FEDERAL EXPRESS Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, DC 20549 Attn: Brigitte Lippmann, Special Counsel Re: Spectrum Group International, Inc. Amendment No. 1 to Registration Statement on For |
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| July 5, 2012 |
Amendment No. 1 to SECURITIES PURCHASE AGREEMENT EX-10.1 2 amendmentno1tosecuritiespu.htm AMENDMENT NO 1 TO THE SECURITIES PURCHASE AGREEMENT Amendment No. 1 to SECURITIES PURCHASE AGREEMENT This Amendment No. 1 (this “Amendment”) is made as of the 4th day of July, 2012 by and among Afinsa Bienes Tangibles, S.A. En Liquidación, a Spanish corporation (“Afinsa”), Auctentia, S.L., a Spanish corporation (“Auctentia” and together with Afinsa, the “Se |
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| July 5, 2012 |
As filed with the Securities and Exchange Commission on July 5, 2012 Registration No. |
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| July 5, 2012 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 5, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (C |
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| June 25, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2009 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPEC |
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| June 25, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2008 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 |
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| June 25, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2008 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 S |
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| June 4, 2012 |
Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 [·], 2012 Exhibit 99.2 Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 [·], 2012 Dear Stockholder: Enclosed are the prospectus dated [·], 2012 (the “Prospectus”) and other materials relating to the rights offering by Spectrum Group International, Inc. (the “Company”). Please carefully review the Prospectus, which describes how you can participate in the rights offering. You will be able to ex |
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| June 4, 2012 |
EX-99.4 10 b315043ex99-4.htm EXHIBIT 99.4 Exhibit 99.4 SPECTRUM GROUP INTERNATIONAL, inc. 19,717,023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. To Our Clients: We are sending this letter to you because we hold shares of Spectrum Group Intern |
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| June 4, 2012 |
RIGHTS CERTIFICATE #: NUMBER OF RIGHTS THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY'S PROSPECTUS DATED [●], 2012 (THE "PROSPECTUS") AND ARE INCORPORATED HEREIN BY REFERENCE. |
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| June 4, 2012 |
Kramer Levin Naftalis & Frankel LLP Abbe L. Dienstag Partner Phone 212-715-9280 Fax 212-715-8280 [email protected] June 4, 2012 VIA EDGAR AND FEDERAL EXPRESS Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, DC 20549 Attn: Brigitte Lippmann, Special Counsel Re: Spectrum Group International, Inc. Amendment No. 1 to Registration Statement on For |
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| June 4, 2012 |
As filed with the Securities and Exchange Commission on June 4, 2012 Registration No. |
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| June 4, 2012 |
EX-99.3 9 b315043ex99-3.htm EXHIBIT 99.3 Exhibit 99.3 SPECTRUM GROUP INTERNATIONAL, INC. 19,717.023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00 P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. [·], 2012 To: Securities Dealers, Commercial Banks, Trust Companies, and Other Nominees This lett |
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| June 4, 2012 |
INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE Exhibit 99.1 INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE The following instructions relate to a rights offering (the “Rights Offering”) by Spectrum Group International, Inc., a Delaware corporation (the “Company”), to the holders of its common stock, par value $0.01 per share (“Common Stock”), as described in the Company’s prospectus dated [·], 2012 ( |
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| May 14, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2012 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPEC |
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| April 27, 2012 |
S-1/A 1 b310698s1a.htm AMND. 1 TO FORM S-1 As filed with the Securities and Exchange Commission on April 27, 2012 Registration No. 333-180214 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Spectrum Group International, Inc. (Exact name of registrant as specified in its charter) Delaware 509 |
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| April 27, 2012 |
KRAMER LEVIN NAFTALIS & FRANKEL llp Abbe L. Dienstag Partner Tel: 212 715-9280 Fax: 212 715-8280 April 27, 2012 VIA EDGAR AND FEDERAL EXPRESS Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, DC 20549 Attn: Brigitte Lippmann, Special Counsel Re: Spectrum Group International, Inc. Registration Statement on Form S-1 Filed March 19, 2012 File No. 333-180 |
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| March 19, 2012 |
EX-4.1 2 v306407ex4-1.htm EXHIBIT 4.1 RIGHTS CERTIFICATE #: NUMBER OF RIGHTS THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY'S PROSPECTUS DATED [·], 2012 (THE "PROSPECTUS") AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM THE COMPANY AT (949) 748-4800. Spectrum Group International, Inc. Incorporated under the laws of th |
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| March 19, 2012 |
INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE EX-99.1 5 v306407ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 INSTRUCTIONS FOR USE OF SPECTRUM GROUP INTERNATIONAL, inc. SUBSCRIPTION RIGHTS CERTIFICATE The following instructions relate to a rights offering (the “Rights Offering”) by Spectrum Group International, Inc., a Delaware corporation (the “Company”), to the holders of its common stock, par value $0.01 per share (“Common Stock”), as described in t |
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| March 19, 2012 |
Exhibit 99.5 SPECTRUM GROUP INTERNATIONAL, INC. 19,717,023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS NOMINEE HOLDER CERTIFICATION The undersigned, a bank, broker, trustee, depository or other nominee holder of rights (the “Subscription Rights”) to purchase shares of common stock, par value $0.01 per share (“Common Stock”), of Spectrum Group International, Inc. (the “Comp |
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| March 19, 2012 |
Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 EX-99.2 6 v306407ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Spectrum Group International, Inc. 1063 McGaw Irvine, CA 92614 [·], 2012 Dear Stockholder: Enclosed are the prospectus dated [·], 2012 (the “Prospectus”) and other materials relating to the rights offering by Spectrum Group International, Inc. (the “Company”). Please carefully review the Prospectus, which describes how you can participate in th |
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| March 19, 2012 |
Exhibit 99.3 SPECTRUM GROUP INTERNATIONAL, INC. 19,717.023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00 P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. [·], 2012 To: Securities Dealers, Commercial Banks, Trust Companies, and Other Nominees This letter is being distributed to securities dea |
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| March 19, 2012 |
EX-99.4 8 v306407ex99-4.htm EXHIBIT 99.4 Exhibit 99.4 SPECTRUM GROUP INTERNATIONAL, inc. 19,717,023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS THE SUBSCRIPTION RIGHTS ARE EXERCISABLE UNTIL 5:00P.M. NEW YORK CITY TIME ON [·], 2012, SUBJECT TO EXTENSION OR EARLIER TERMINATION. To Our Clients: We are sending this letter to you because we hold shares of Spectrum Group Interna |
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| March 19, 2012 |
Exhibit 99.6 SPECTRUM GROUP INTERNATIONAL, INC. 19,717,023 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF SUBSCRIPTION RIGHTS BENEFICIAL OWNER ELECTION FORM I (We) acknowledge receipt of your letter and the enclosed materials relating to the offering of shares of Spectrum Group International, Inc. common stock, par value $0.01 per share (the “Common Stock”), issuable upon the exercise of subscri |
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| March 19, 2012 |
Registration Statement - FORM S-1 S-1 1 v306407s1.htm FORM S-1 As filed with the Securities and Exchange Commission on March 19, 2012 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Spectrum Group International, Inc. (Exact name of registrant as specified in its charter) Delaware 5094 22-2365834 (State or other jurisdicti |
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| March 7, 2012 |
EX-99.1 3 exhibit991opinionofrothcap.htm OPINION OF ROTH CAPITAL PARTNERS, DATED MARCH 5, 2012 Exhibit 99.1 March 5, 2012 Special Committee of the Board of Directors Spectrum Group International, Inc. 1063 McGaw Avenue Irvine, CA 92614 Member of the Special Committee of the Board of Directors: Roth Capital Partners, LLC (“Roth”) understands that Spectrum Group International, Inc., a Delaware corpo |
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| March 7, 2012 |
EX-99.2 4 exhibit992pressreleasedate.htm PRESS RELEASE Exhibit 99.2 For Immediate Release Spectrum Group International enters into Agreement to Purchase SGI and A-Mark Stock owned by its Majority Stockholder, Afinsa Bienes Tangibles, S.A. En Liquidacion IRVINE, Calif. - March 7, 2012 - Spectrum Group International, Inc. (SGI or the Company) (SPGZ.PK) announced today that it has entered into a secu |
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| March 7, 2012 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit B Joint Filing Agreement The undersigned agree that the foregoing Statement on Schedule 13D/A, dated March 7, 2012, is being filed with the Securities and Exchange Commission on behalf of each of the undersigned pursuant to Rule 13d-1(k). Dated: March 7, 2012 AFINSA BIENES TANGIBLES S.A. EN LIQUIDACION By: /s/ Javier Díaz-Gálvez de la Cámara Name: Javier Dí |
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| March 7, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 6, 2012 SPECTRUM GROUP INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) ( |
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| March 7, 2012 |
EX-10.1 2 exhibit101securitypurchase.htm SECURITIES PURCHASE AGREEMENT EXHIBIT 10.1 SECURITIES PURCHASE AGREEMENT by and among Afinsa Bienes Tangibles, S.A. En Liquidación, Auctentia, S.L., and Spectrum Group International, Inc. Dated as of March 5, 2012 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of March 5, 2012, by and among Af |
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| March 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 21) SPECTRUM GROUP INTERNATIONAL, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE (Title of Class of Securities) 563823103 (CUSIP Number) Spencer D. Klein Morrison & Foerster LLP 1290 Avenue of the Americas New York New York 10104 (212) 468-80 |
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| February 13, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2011 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 S |
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| November 16, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) November 15, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or org |
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| November 10, 2011 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2011 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 |
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| October 17, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) October 14, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or orga |
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| September 23, 2011 |
Subsidiaries of Registrant (all 100% owed except where indicated) Exhibit 21 Subsidiaries of Registrant (all 100% owed except where indicated) Name of Subsidiary Jurisdiction of Incorporation A-Mark Precious Metals, Inc (80% owned) New York Collateral Finance Corporation, Inc. |
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| September 23, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) R ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2011 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPECTRUM GROUP INTERNATIONAL, INC. |
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| August 18, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) August 15, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organ |
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| August 4, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) August 1, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organi |
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| June 17, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) June 13, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organiz |
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| May 12, 2011 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2011 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPEC |
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| May 4, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) May 3, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organizat |
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| April 22, 2011 |
Entry into a Material Definitive Agreement, Completion of Acquisition or Disposition of Assets 8-K 1 form8kbbhandmcgaw.htm BBH AND MCGAW UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): April 19, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or ot |
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| April 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A 10-K/A 1 form10ka2010thirdamend.htm FORM 10K/A THIRD AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Mark One) R ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2010 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition peri |
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| March 21, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT No 1 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) January 6, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incor |
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| March 3, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Mark One) R ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2010 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPECTRUM GROUP INTERNATIONAL, INC. |
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| February 23, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) February 17, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or org |
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| February 10, 2011 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2010 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ; to Commission File Number: 1-11988 |
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| January 12, 2011 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) January 6, 2011 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organ |
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| December 29, 2010 |
CONTRIBUTION AND ASSUMPTION AGREEMENT EX-10.1 2 exh101bowercontributionagr.htm STACK'S BOWER CONTRIBUTION AND ASSUMPTION AGREEMENT EXHIBIT 10.1 CONTRIBUTION AND ASSUMPTION AGREEMENT This CONTRIBUTION AND ASSUMPTION AGREEMENT (this “Agreement”), is dated as of December 22nd, 2010, by and among STACK'S-BOWERS NUMISMATICS, LLC, a Delaware limited liability company (“LLC”), BOWERS & MERENA AUCTIONS, LLC., a Delaware limited liability comp |
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| December 29, 2010 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) December 23, 2010 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or org |
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| December 29, 2010 |
EXHIBIT 99.1 &nbs p; NEWS RELEASE Media Contact Brian Kendrella Spectrum Group International 949-955-1250 [email protected] SPECTRUM GROUP INTERNATIONAL'S BOWERS AND MERENA AUCTIONS TO JOIN FORCES WITH STACK'S TO CREATE STACK'S-BOWERS NUMISMATICS IRVINE, Calif. - (December 22, 2010) - Spectrum Group International, Inc. (SPGZ.PK) announced today that its subsidiary Bowers and Merena Auction |
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| December 29, 2010 |
CONTRIBUTION AND ASSUMPTION AGREEMENT EX-10.2 3 exh102contributionagreement.htm CONTRIBUTION AND ASSUMPTION AGREEMENT EXHIBIT 10.2 CONTRIBUTION AND ASSUMPTION AGREEMENT This CONTRIBUTION AND ASSUMPTION AGREEMENT (this "Agreement"), is dated as of December 22nd-, 2010, by and among STACK'S-BOWERS NUMISMATICS, LLC, a Delaware limited liability company (“LLC”), BOWERS & MERENA AUCTIONS, LLC., a Delaware limited liability company (“B&M”), |
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| December 15, 2010 |
8-K 1 fye2010shareholdersmeeting.htm SPECTRUM GROUP INTERNATIONAL, INC. 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) December 10, 2010 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Dela |
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| December 2, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] |
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| November 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) November 10, 2010 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or org |
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| November 10, 2010 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2010 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 |
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| October 28, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Mark One) R ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 < td style="vertical-align:bottom;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"> For the fiscal year ended June 30, 2010 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the trans ition period from to Commission File Number: 1-11988 SPECTRUM GROUP INTERNATIONAL, INC. |
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| September 16, 2010 |
EX-10.5 6 v57293exv10w5.htm EX-10.5 EXHIBIT 10.5 APPROVED 5/27/2010 Spectrum Group International, Inc. Non-Employee Directors’ Compensation Program Effective May 27, 2010 1. Purpose and Scope of the Program. (a) Purpose. The purpose of this Non-Employee Directors’ Compensation Program (the “Program”) of Spectrum Group International, Inc. (the “Company”) is to advance the interests of the Company a |
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| September 16, 2010 |
EX-3.1.2 3 v57293exv3w1w2.htm EX-3.1.2 EXHIBIT 3.1.2 STATE OF DELAWARE SECRETARY OF STATE DIVISION OF CORPORATIONS FILED 09:00 AM 02/12/2001 010070850 — 3341519 CERTIFICATE OF OWNERSHIP AND MERGER of GREG MANNING AUCTIONS, INC. (a New York corporation) into GREG MANNING DELAWARE, INC. (a Delaware corporation) It is hereby certified that: 1. Greg Manning Auctions, Inc. is a corporation of the State |
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| September 16, 2010 |
Outside Director Compensation Policy EXHIBIT 10.4 Outside Director Compensation Policy On June 25, 2009, the Board of Directors (the ?Board?) of Spectrum Group International, Inc. (the ?Company?), upon the recommendation of its Nominating and Corporate Governance Committee and after consultation with an outside compensation consulting firm, revised the compensation policy for outside members of the Board (each, an ?Outside Director?) |
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| September 16, 2010 |
EX-3.1.1 2 v57293exv3w1w1.htm EX-3.1.1 EXHIBIT 3.1.1 STATE OF DELAWARE SECRETARY OF STATE DIVISION OF CORPORATIONS FILED 09:00 AM 01/08/2001 010012059 — 3341519 CERTIFICATE OF INCORPORATION OF GREG MANNING DELAWARE, INC. The undersigned, being the sole incorporator of Greg Manning Delaware, Inc., hereby certifies as follows: 1. Name. The name of the corporation is Greg Manning Delaware, Inc. (the |
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| September 16, 2010 |
exv14 EXHIBIT 14 SPECTRUM GROUP INTERNATIONAL, INC. CODE OF ETHICS FOR SENIOR FINANCIAL AND OTHER OFFICERS (Effective as of May 8, 2009; Amended as of April 14, 2010) I. Introduction The Audit Committee (the “Audit Committee”) of the Board of Directors (the “Board”) of Spectrum Group International, Inc. (together with its reporting subsidiaries, the “Company”) hereby adopts this Code of Ethics for |
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| September 16, 2010 |
EX-10.7 7 v57293exv10w7.htm EX-10.7 EXHIBIT 10.7 SPECTRUM GROUP INTERNATIONAL, INC. 1997 Stock Incentive Plan, As Amended and Restated U.S. Restricted Stock Units Agreement This Restricted Stock Units Agreement (the “Agreement”) confirms the grant on [DATE] (the “Grant Date”) by SPECTRUM GROUP INTERNATIONAL, INC. (the “Company”), to [NAME OF EMPLOYEE] (“Employee”) of Restricted Stock Units (the “U |
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| September 16, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2010 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPECTRUM GROUP INTERNATIONAL, INC. |
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| September 16, 2010 |
A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT As Amended and Restated as of June 1, 2010 EX-10.3 4 v57293exv10w3.htm EX-10.3 EXHIBIT 10.3 A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT As Amended and Restated as of June 1, 2010 This Employment Agreement (this “Agreement”) is an amendment and restatement as of May 13, 2010 of that Employment Agreement dated as of July 2005, and is between A-MARK PRECIOUS METALS, INC., a New York Corporation (the “Company”) and RAND LeSHAY, an indivi |
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| September 16, 2010 |
Exhibit 21 Subsidiaries of Registrant (all 100% owed except where indicated) Name of Subsidiary Jurisdiction of Incorporation A-Mark Precious Metals, Inc. |
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| July 13, 2010 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) July 8, 2010 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organiz |
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| July 13, 2010 |
Exhibit 99.1 Spectrum Group International, Inc. Announces Preliminary Settlement with Former CEO Greg Manning Manning Announces Proposed Resolution With SEC IRVINE, Calif.-(BUSINESS WIRE)-July 8, 2010-Spectrum Group International, Inc. (SPGZ.PK) today announced that it has entered into an agreement in principle to settle the arbitration action between the Company and its former President and CEO, |
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| May 14, 2010 |
Spectrum Group International, Inc. EMPLOYMENT AGREEMENT As Amended and Restated as of May 13, 2010 EX-10.1 2 v56122exv10w1.htm EX-10.1 Exhibit 10.1 Spectrum Group International, Inc. EMPLOYMENT AGREEMENT As Amended and Restated as of May 13, 2010 This Employment Agreement (this “Agreement”) is an amendment and restatement as of May 13, 2010 of that Employment Agreement dated December 28, 2007, and is between SPECTRUM GROUP INTERNATIONAL, INC., a Delaware corporation (the “Company”), and GREGORY |
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| May 14, 2010 |
e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 12, 2010 |
Spectrum Group Names New Chief Financial Officer EX-99.1 2 a6244575ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Spectrum Group Names New Chief Financial Officer IRVINE, Calif.-(BUSINESS WIRE)-April 12, 2010-Spectrum Group International, Inc. (SPGZ.PK), today announced that it has appointed Paul Soth as its Chief Financial Officer and Executive Vice President, effective immediately. Mr. Soth, aged 51, served as Director of Income Tax Processes and System |
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| April 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) April 8, 2010 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organi |
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| February 12, 2010 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2009 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 S |
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| November 25, 2009 |
Exhibit 99.1 Spectrum Group International, Inc. Announces Date of 2009 Annual Meeting of Stockholders; Announces Nominees for Election to the Board James Davin to Retire from the Board IRVINE, Calif.-(BUSINESS WIRE)-November 25, 2009-Spectrum Group International, Inc. (SPGZ) today announced that its 2009 Annual Meeting of Stockholders is scheduled to be held on December 17, 2009 at the Hilton Hote |
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| November 25, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) November 23, 2009 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or or |
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| November 13, 2009 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2009 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 |
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| October 8, 2009 |
Exhibit 21 Name of Subsidiary Jurisdiction of Incorporation A-Mark Precious Metals, Inc. |
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| October 8, 2009 |
GREG MANNING AUCTIONS, INC. 1997 STOCK INCENTIVE PLAN EX-10.1 4 v53801exv10w1.htm EX-10.1 Exhibit 10.1 GREG MANNING AUCTIONS, INC. 1997 STOCK INCENTIVE PLAN Table of Contents Page ARTICLE I GENERAL 1.1 Purpose 1 1.2 Administration 1 1.3 Persons Eligible for Awards 2 1.4 Types of Awards Under Plan 2 1.5 Shares Available for Awards 2 1.6 Definitions of Certain Terms 3 ARTICLE II AWARDS UNDER THE PLAN 2.1 Agreements Evidencing Awards 5 2.2 No Rights as |
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| October 8, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2009 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-11988 SPECTRUM GROUP INTERNATIONAL, INC. |
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| October 8, 2009 |
Spectrum Group International, Inc. Employee Restricted Stock Grant Agreement EX-10.7 7 v53801exv10w7.htm EX-10.7 Exhibit 10.7 Spectrum Group International, Inc. Employee Restricted Stock Grant Agreement THIS AGREEMENT, made as of [DATE], between Spectrum Group International, Inc. (the “Company”) and [NAME] (the “Participant”). WHEREAS, the Company has adopted and maintains its 1997 Stock Incentive Plan (the “Plan”) to provide for officers, other employees and directors of, |
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| October 8, 2009 |
EX-3.1.1 2 v53801exv3w1w1.htm EX-3.1.1 Exhibit 3.1 State of Delaware Secretary of State Division of Corporations Delivered 11:08 AM 04/27/2009 FILED 10:54 AM 04/27/2009 SRV 090399030 — 4679585 FILE CERTIFICATE OF INCORPORATION OF SPECTRUM GROUP INTERNATIONAL, INC. 1. The name of the Corporation is Spectrum Group International, Inc . (the “Corporation”). 2. The address of the registered office of t |
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| October 8, 2009 |
EX-10.4 5 v53801exv10w4.htm EX-10.4 Exhibit 10.4 Execution Copy EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is dated as of July , 2005 and is between A-MARK PRECIOUS METALS, INC., a New York corporation (“Company”), and THOR C. GJERDRUM, an individual (“Mr. Gjerdrum”), and is made with reference to the following facts. A. Mr. Gjerdrum is currently employed by Company as its C |
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| October 8, 2009 |
Exhibit 10.5 Execution Copy EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?) is dated as of July , 2005, and is between A-MARK PRECIOUS METALS, INC., a New York corporation (?Company?), and RAND LeSHAY, an individual (?Mr. LeShay?), and is made with reference to the following facts. STATEMENTS OF FACT: A. Mr. LeShay is currently employed by Company as its Senior Vice President, pu |
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| October 8, 2009 |
Exhibit 3.2 BY-LAWS OF SPECTRUM GROUP INTERNATIONAL, INC> ARTICLE 1 STOCKHOLDERS 1.1 Place of Meetings. Meetings of stockholders must be held at such place, either within or outside the State of Delaware, as the board of directors may designate from time to time. 1.2 Annual Meetings. Annual meetings of stockholders must be held at the day and time fixed, from time to time, by the board of director |
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| June 30, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 30, 2009 |
SPECTRUM GROUP INTERNATIONAL, INC. ANNOUNCES FISCAL 2008 FINANCIAL RESULTS Exhibit 99.1 For Immediate Release SPECTRUM GROUP INTERNATIONAL, INC. ANNOUNCES FISCAL 2008 FINANCIAL RESULTS Irvine, CA, June 30, 2009 – Spectrum Group International, Inc. (SPGZ.PK) today announced financial results for its fiscal year ended June 30, 2008. For the 2008 fiscal year, the Company’s operating revenues were approximately $2.864 billion, including $2.681 billion from its trading segmen |
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| June 30, 2009 |
Exhibit 14.1 SPECTRUM GROUP INTERNATIONAL, INC. CODE OF ETHICS FOR SENIOR FINANCIAL AND OTHER OFFICERS (Effective as of May 8, 2009) I. Introduction The Audit Committee (the ?Audit Committee?) of the Board of Directors (the ?Board?) of Spectrum Group International, Inc. (together with its reporting subsidiaries, the ?Company?) hereby adopts this Code of Ethics for Senior Financial and Other Office |
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| May 29, 2009 |
Exhibit 99.1 Escala Group, Inc. Announces Name Change Irving Kagan Retires from Board of Directors; Appointed as Special Consultant Jeffrey D. Benjamin Joins Board of Directors IRVINE, Calif.-(BUSINESS WIRE)-May 22, 2009-Escala Group, Inc. (ESCL.PK) today announced that the Company has changed its corporate name to Spectrum Group International, Inc., effective immediately. Spectrum Group also anno |
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| May 29, 2009 |
EX-3.1 2 a5975915ex3-1.htm EXHIBIT 3.1 EXHIBIT 3.1 CERTIFICATE OF OWNERSHIP AND MERGER OF SPECTRUM GROUP INTERNATIONAL, INC. WITH AND INTO ESCALA GROUP, INC. It is hereby certified that: 1. Escala Group, Inc. (the “Company”) is a business corporation of the State of Delaware. 2. The Company is the owner of all of the outstanding shares of the common stock of Spectrum Group International, Inc., whi |
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| May 29, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) May 19, 2009 SPECTRUM GROUP INTERNATIONAL, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organiz |
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| May 29, 2009 |
EX-10.1 3 a5975915ex10-1.htm EXHIBIT 10.1 EXHIBIT 10.1 MERGER AGREEMENT This MERGER AGREEMENT (this “Agreement”) is entered into as of May 21, 2009 by and between ESCALA GROUP, INC., a Delaware corporation (“Escala”), and SPECTRUM GROUP INTERNATIONAL, INC., a Delaware corporation (“SGI”). WHEREAS, Escala is a corporation duly organized and validly existing under the laws of the State of Delaware h |
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| March 25, 2009 |
CONSENT OF DEFENDANT ESCALA GROUP, INC. Exhibit 10.1 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK - SECURITIES AND EXCHANGE COMMISSION Plaintiff, -against- ESCALA GROUP, INC., C.A. No. - Defendant. - CONSENT OF DEFENDANT ESCALA GROUP, INC. 1. Defendant Escala Group, Inc. ("Defendant") waives service of a summons and the complaint in this action, enters a general appearance, and admits the Court’s jurisdiction over Defendan |
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| March 25, 2009 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) March 23, 2009 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Commis |
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| March 25, 2009 |
Escala Group Announces Settlement of SEC Investigation Exhibit 99.1 Escala Group Announces Settlement of SEC Investigation IRVINE, Calif.-(BUSINESS WIRE)-March 23, 2009-Escala Group (ESCL.PK), a global collectibles company in stamps, coins, precious metals trading, and art and antiques, today announced that it has reached a settlement with the United States Securities and Exchange Commission (the “SEC”), resolving charges filed today against the Compa |
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| October 3, 2008 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) September 19, 2008 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Co |
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| October 3, 2008 |
Exhibit 99.1 Court Grants Preliminary Approval of Settlement of Escala Group Shareholder and Derivative Litigation IRVINE, Calif.-(BUSINESS WIRE)-Escala Group (ESCL.PK), a global collectibles company in stamps, coins, precious metals trading, and art and antiques, today announced that the United States District Court for the Southern District of New York has granted preliminary approval of the set |
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| June 17, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) June 11, 2008 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Commiss |
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| June 17, 2008 |
Escala Group Names Chief Financial Officer Announces Move of Corporate Headquarters Exhibit 99.1 Escala Group Names Chief Financial Officer Announces Move of Corporate Headquarters BETHEL, Conn.-(BUSINESS WIRE)-Escala Group (ESCL.PK), a global collectibles company in stamps, coins, precious metals trading, and art and antiques, today announced that it has appointed Thor Gjerdrum as its Chief Financial Officer and Executive Vice President, effective immediately. Mr. Gjerdrum, aged |
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| June 6, 2008 |
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK Exhibit 10.1 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK IN RE ESCALA GROUP, INC. SECURITIES LITIGATION Master File No. 06 Civ. 3518 (AKH) This Document Relates To: ALL ACTIONS AGREEMENT 1. This Agreement is dated as of May 30, 2008, and is entered into by and between the Virginia Retirement System (?VRS? or ?Lead Plaintiff?) and Defendants Escala Group, Inc. (?Escala? or the ?Compa |
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| June 6, 2008 |
Financial Statements and Exhibits, Other Events, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) May 30, 2008 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Commissi |
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| June 6, 2008 |
Exhibit 99.1 Escala Group Enters into Agreement to Settle Shareholder and Derivative Litigation Asserts Claims against Former President and CEO Manning BETHEL, Conn.-(BUSINESS WIRE)-Escala Group (ESCL.PK), a global collectibles company in stamps, coins, precious metals trading, and art and antiques, today announced that it has entered into agreements to settle the securities class action lawsuit a |
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| March 11, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 3, 2008 ESCALA GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation o |
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| March 11, 2008 |
Escala Group Names Permanent CEO Makes Other Management Changes Exhibit 99.1 Escala Group Names Permanent CEO Makes Other Management Changes BETHEL, Conn.-(BUSINESS WIRE)-Escala Group (ESCL.PK), a global collectibles company in stamps, coins, precious metals trading, and art and antiques, today announced that the Board of Directors has appointed Greg Roberts, the head of its coin and trading divisions, as its President and Chief Executive Officer. Mr. Roberts |
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| March 10, 2008 |
Escala Group Names Permanent CEO Makes Other Management Changes Exhibit 99.1 Escala Group Names Permanent CEO Makes Other Management Changes BETHEL, Conn.-(BUSINESS WIRE)-Escala Group (ESCL.PK), a global collectibles company in stamps, coins, precious metals trading, and art and antiques, today announced that the Board of Directors has appointed Greg Roberts, the head of its coin and trading divisions, as its President and Chief Executive Officer. Mr. Roberts |
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| March 10, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 12, 2008 ESCALA GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) |
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| May 18, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) May 12, 2006 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Commissio |
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| May 10, 2006 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2006 OR r TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission file number 1-11988 ESCALA GROUP, INC. (Exact name of Registrant as spec |
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| May 5, 2006 |
May 5, 2006 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission Washington, D. |
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| April 10, 2006 |
April 10, 2006 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission Washington, D. |
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| February 9, 2006 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2005 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission file number 1-11988 ESCALA GROUP, INC. (Exact name of Registrant as |
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| February 6, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 1, 2006 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Comm |
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| January 30, 2006 |
ASSIGNMENT AND USE OF NAME AGREEMENT EX-10.2 3 kl01051ex10-2.htm EXHIBIT 10.2 ASSIGNMENT AND USE OF NAME AGREEMENT Exhibit B ASSIGNMENT AND USE OF NAME AGREEMENT This ASSIGNMENT AND USE OF NAME AGREEMENT, dated as of January 3, 2006 (the “Agreement”), is by and between GREG MANNING, an individual (“MANNING”), and ESCALA GROUP, INC., formerly known as GREG MANNING AUCTIONS, INC., a Delaware corporation located at 623 Fifth Avenue, New |
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| January 30, 2006 |
EMPLOYMENT AND CONSULTING AGREEMENT EX-10.1 2 kl01051ex10-1.htm EXHIBIT 10.1 EMPLOYMENT AND CONSULTING AGREEMENT Exhibit A EMPLOYMENT AND CONSULTING AGREEMENT THIS AGREEMENT (the “Agreement”), made in New York, New York as of July 1, 2005, between Greg Manning Auctions, Inc., a Delaware corporation (the “Company”), and Greg Manning (“Executive”). WHEREAS, the Company has employed Executive as its President and Chief Executive Office |
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| January 30, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) January 24, 2006 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Commi |
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| January 6, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported) December 30, 2005 ESCALA GROUP, INC. (Exact Name of Registrant as Specified in Charter) Delaware 1-11988 22-2365834 (State or other jurisdiction of incorporation or organization) (Comm |
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| October 25, 2002 |
================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 3, 2001 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Greg Manning Auctions, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 563823103 (CUSIP Number) M |
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| June 7, 2001 |
- - - CUSIP No. 563823103 13D Page 1 of 5 - - - SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 - SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)(1) GREG MANNING AUCTIONS, INC. - - (Name of issuer) COMMON STOCK, $.01 PAR VALUE - - (Title of class of securities) 563823103 - - (CUSIP number) BRUCE A. RICH, ESQ. BECKER, GLYNN, MELAMED & MUFFLY LLP 299 Park Avenue New |
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| February 27, 2001 |
Exhibit 3.2 BY-LAWS OF GREG MANNING DELAWARE, INC. ARTICLE 1 Stockholders 1.1 Place of Meetings. Meetings of stockholders must be held at such place, either within or outside the State of Delaware, as the board of directors may designate from time to time. 1.2 Annual Meetings. Annual meetings of stockholders must be held at the day and time fixed, from time to time, by the board of directors, exce |
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| November 30, 2000 |
Filed pursuant to 424(b)(3) Registration Nos. 333-38354 & 333-49528 PROSPECTUS SUPPLEMENT NO. 1 (To the Prospectus dated June 28, 2000) 163,073 GREG MANNING AUCTIONS, INC. COMMON STOCK - STICKER SUPPLEMENT TO PROSPECTUS This prospectus supplement relates to the resale of shares of our common stock by Tristar Products, Inc., a Pennsylvania corporation. You should read this prospectus supplement in |
