SEC Form 5 · accession 0001179110-19-002538
TRANS WORLD ENTERTAINMENT CORP · TWMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edwin Sapienza
Officer — Chief Financial Officer
Period of report
Feb 2, 2019
Accepted (ET)
Feb 26, 2019 · 10:50 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000795212
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 | holding | — | — | — | 1,250 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F1,F5,F2 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 150,500 | 150,500 | D |
| Restricted Stock UnitsF1,F3,F2,F4 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 28,750 | 28,750 | D |
Explanation of responses
- F1All 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.
- F2All grants are exercisable within 4 years and expire 10 years from date of grant.
- F3Each Restricted Stock Unit is the economic equivalent of one share of Trans World Entertainment Corporation stock.
- F4Restricted stock units terminate upon vesting.
- F5Previously reported on a Form 4.