SEC Form 4 · accession 0001209191-15-004392
TRANS WORLD ENTERTAINMENT CORP · TWMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lloyd I Miller III
10% Owner
Period of report
Jan 14, 2015
Accepted (ET)
Jan 15, 2015 · 3:12 pm 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 StockF1,F2 | Jan 14, 2015 | P | 220,607 | $3.1725 | A | 1,930,967 | I | By Trust A-4 - Lloyd I. Miller |
| Common StockF1,F2 | Jan 14, 2015 | P | 24,000 | $3.175 | A | 36,031 | I | By Susan F. Miller |
| Common StockF1,F2,F3 | Jan 14, 2015 | P | 24,000 | $3.175 | A | 24,000 | I | See Footnote no. 3 |
| Common Stock | holding | — | — | — | 1,156,438 | D | ||
| Common StockF2 | holding | — | — | — | 2,163,209 | I | By Milfam II L.P. | |
| Common StockF2 | holding | — | — | — | 5,000 | I | By LIMFAM LLC | |
| Common StockF2 | holding | — | — | — | 112,791 | I | By Trust A-3 - Lloyd I. Miller | |
| Common StockF2 | holding | — | — | — | 35,002 | I | By AMIL of Ohio, LLC | |
| Common StockF2 | holding | — | — | — | 6,000 | I | By Lloyd I. Miller, III, Trustee GST Catherine C. Miller | |
| Common StockF2 | holding | — | — | — | 6,000 | I | By Lloyd I. Miller, III, Trustee GST Kimberly S. Miller | |
| Common StockF2 | holding | — | — | — | 6,000 | I | By Lloyd I. Miller, III, Trustee GST Lloyd I. Miller | |
| Common StockF2 | holding | — | — | — | 4,000 | I | By Trust A-2 - Lloyd I. Miller | |
| Common StockF2 | holding | — | — | — | 209,748 | I | By Milgrat (H9) | |
| Common StockF2 | holding | — | — | — | 257,951 | I | By Milgrat (A10) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually paid ranged from $3.15 to $3.20 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.
- F2The 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.
- F3By Lloyd I. Miller, III, co-trustee with Kimberly S. Miller f/b/o Lloyd I. Miller IV and Alexandra B. Miller