SEC Form 4 · accession 0001209191-15-047046
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
May 26, 2015
Accepted (ET)
May 27, 2015 · 2:37 pm EDT
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 | May 26, 2015 | P | 98,900 | $3.50 | A | 2,420,574 | I | By Milfam II L.P. |
| Common StockF1 | May 26, 2015 | P | 98,900 | $3.50 | A | 2,029,867 | I | By Trust A-4 - Lloyd I. Miller |
| Common StockF1 | holding | — | — | — | 36,031 | I | By Susan F. Miller | |
| Common StockF1,F2 | holding | — | — | — | 24,000 | I | See Footnote no. 3 | |
| Common Stock | holding | — | — | — | 1,156,438 | D | ||
| Common StockF1 | holding | — | — | — | 5,000 | I | By LIMFAM LLC | |
| Common StockF1 | holding | — | — | — | 112,791 | I | By Trust A-3 - Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 35,002 | I | By AMIL of Ohio, LLC | |
| Common StockF1 | holding | — | — | — | 6,000 | I | By Lloyd I. Miller, III, Trustee GST Catherine C. Miller | |
| Common StockF1 | holding | — | — | — | 6,000 | I | By Lloyd I. Miller, III, Trustee GST Kimberly S. Miller | |
| Common StockF1 | holding | — | — | — | 6,000 | I | By Lloyd I. Miller, III, Trustee GST Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 4,000 | I | By Trust A-2 - Lloyd I. Miller | |
| Common StockF3 | holding | — | — | — | 0 | I | By Milgrat (H9) | |
| Common StockF1,F3 | holding | — | — | — | 209,748 | I | By Trust C - Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 257,951 | I | By Milgrat (A10) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2By Lloyd I. Miller, III, co-trustee with Kimberly S. Miller f/b/o Lloyd I. Miller IV and Alexandra B. Miller
- F3On April 23, 2015, pursuant to a final distribution made in connection with a grantor retained annuity trust, Milgrat (H9) transferred 209,748 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.