Filing Details

Accession Number:
0001209191-17-049921
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-08-23 16:04:49
Reporting Period:
2017-08-22
Accepted Time:
2017-08-23 15:04:49
SEC Url:
Form 4 Filing
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
949119 Iii I Lloyd Miller 3300 South Dixie Highway
Suite 1-365
West Palm Beach FL 33405
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-08-22 964 $1.50 8,462 No 4 P Indirect By Milfam I L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Milfam I L.P.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 8,400 Indirect By LIMFAM LLC
Common Stock 27,197 Indirect By Trust A-1 - Lloyd I. Miller
Common Stock 2,054,867 Indirect By Trust A-4 - Lloyd I. Miller
Common Stock 45,491 Indirect By Milfam III L.P.
Common Stock 36,031 Indirect By Susan F. Miller
Common Stock 0 Indirect See Footnote no. 3
Common Stock 1,189,802 Direct
Common Stock 2,472,384 Indirect By Milfam II L.P.
Common Stock 112,791 Indirect By Trust A-3 - Lloyd I. Miller
Common Stock 35,002 Indirect By AMIL of Ohio, LLC
Common Stock 6,000 Indirect By Lloyd I. Miller, III, Trustee GST Catherine C. Miller
Common Stock 6,000 Indirect By Lloyd I. Miller, III, Trustee GST Kimberly S. Miller
Common Stock 6,000 Indirect By Lloyd I. Miller, III, Trustee GST Lloyd I. Miller
Common Stock 4,000 Indirect By Trust A-2 - Lloyd I. Miller
Common Stock 448,972 Indirect By Trust C - Lloyd I. Miller
Common Stock 0 Indirect By Milgrat (T10)
Footnotes
  1. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Securities Exchang Act of 1934 (the "Act") or otherwise, the beneficial owner of any equity securities covered by this filing.
  2. On December 30, 2016, 24,000 securities held by Lloyd I. Miller, co-trustee with Kimberly S. Miller f/b/o Lloyd I. Miller IV and Alexandra B. Miller were transferred to Lloyd I. Miller, III. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Act pursuant to Rule 16a-13.
  3. By Lloyd I. Miller, III, co-trustee with Kimberly S. Miller f/b/o Lloyd I. Miller IV and Alexandra B. Miller
  4. On July 11, 2017, pursuant to a final distribution made in connection with a grantor retained annuity trust, Milgrat (T10) transferred 172,187 shares to Trust C. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Act pursuant to Rule 16a-13.