Filing Details
- Accession Number:
- 0001179110-11-014276
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-17 15:52:05
- Reporting Period:
- 2011-10-13
- Filing Date:
- 2011-10-17
- Filing Date Changed:
- 2011-10-17
- Accepted Time:
- 2011-10-17 16:52:05
- Original Submission Date:
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 795212 | Trans World Entertainment Corp | TWMC | Retail-Record & Prerecorded Tape Stores (5735) | 141541629 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 900603 | J Robert Higgins | 38 Corporate Circle Albany NY 12203 |
Chairman And Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings |
|---|---|---|---|---|---|
| Common Stock Par Value $.01 Per Share | Acquisiton | 2011-10-13 | 60,000 | $2.07 | 14,457,625 |
| Common Stock Par Value $.01 Per Share | Acquisiton | 2011-10-14 | 6,300 | $2.09 | 14,463,925 |
| Common Stock Par Value $.01 Per Share | Acquisiton | 2011-10-17 | 8,700 | $2.14 | 14,472,625 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock Par Value $.01 Per Share | 137,500 | Indirect | Higgins Foundation |
| Common Stock Par Value $.01 Per Share | 50,550 | Indirect | Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date |
|---|---|---|---|
| Common Stock Par Value $.01 Per Share | Employee Stock Options (Right to Buy) | $0.00 | |
| Common Stock Par Value $.01 Per Share | Stock Settled Appreciation Rights | $0.00 | |
| Common Stock Par Value $.01 Per Share | Restricted stock units | $0.00 |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2,575,000 | 2,575,000 | Direct | |
| 450,000 | 450,000 | Direct | |
| 279,898 | 279,898 | Direct |
Footnotes
- All of the equity transactions listed above are pursuant to equity plans qualified under Rule 16b-3 and exempt from Section 16(b) of the Securities Exchange Act
- Previously reported on Form 4.
- All grants are exercisable within 4 years and expire 10 years from date of grant.
- Each restricted stock unit is the economic equivalent of one share of Trans World Entertainment Corporation stock.
- Restricted stock units vest based on achievement of predetermined financial goals.
- Restricted stock units terminate upon vesting.
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