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Filing Details

Accession Number:: 0001179110-16-029011
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-08-25 16:34:42
Reporting Period:: 2016-06-13

Filing Date:: 2016-08-25
Accepted Time:: 2016-08-25 16:34:42
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1296484	Top Ships Inc.	TOPS	Deep Sea Foreign Transportation Of Freight (4412)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1512282	Ronin Capital, Llc	350 N. Orleans Street Suite 2N Chicago IL 60654-1975		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2016-06-13	597	$2.06	82,900	No	4	S	Direct
Common Stock	Disposition	2016-06-14	3,300	$1.96	79,600	No	4	S	Direct
Common Stock	Disposition	2016-06-16	300	$2.00	79,300	No	4	S	Direct
Common Stock	Disposition	2016-07-20	14,700	$2.13	64,600	No	4	S	Direct
Common Stock	Disposition	2016-07-21	64,600	$3.45	0	No	4	S	Direct
Common Stock	Acquisiton	2016-08-12	111,250	$2.80	111,250	No	4	X	Direct
Common Stock	Disposition	2016-08-23	9,869	$3.82	101,381	No	4	S	Direct
Common Stock	Disposition	2016-08-24	45,000	$4.15	56,381	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	X	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants to Purchase Common Stock	Disposition	2016-08-12	125,000	$0.00	111,250	$2.80

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
500,000	2014-06-11	2019-06-11	No	4	X	Direct

Footnotes

This transaction was executed in multiple trades at prices ranging from $2.05 to $2.06. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
This transaction was executed in multiple trades at prices ranging from $1.95 to $1.96. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
This transaction was executed in multiple trades at prices ranging from $2.00 to $2.25. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
This transaction was executed in multiple trades at prices ranging from $2.90 to $4.00. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
Each warrant is exercisable for 0.89 shares of common stock. After giving effect to the exercise of 125,000 warrants to purchase 111,250 shares of common stock on August 12, 2016, the reporting person beneficially owns 500,000 warrants to purchase 445,000 shares of common stock.
This transaction was executed in multiple trades at prices ranging from $3.76 to $3.87. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
This transaction was executed in multiple trades at prices ranging from $3.90 to $4.40. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.