SEC Form 4 · accession 0001209191-16-146001
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
Oct 14, 2016
Accepted (ET)
Oct 17, 2016 · 12:58 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 | Oct 14, 2016 | P | 5,200 | $3.40 | A | 2,472,384 | I | By Milfam II L.P. |
| Common StockF1 | holding | — | — | — | 8,400 | I | By LIMFAM LLC | |
| Common StockF1 | holding | — | — | — | 27,197 | I | By Trust A-1 - Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 2,054,867 | I | By Trust A-4 - Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 45,491 | I | By Milfam III L.P. | |
| Common StockF1 | holding | — | — | — | 36,031 | I | By Susan F. Miller | |
| Common StockF1,F2 | holding | — | — | — | 24,000 | I | See Footnote no. 2 | |
| Common Stock | holding | — | — | — | 1,165,802 | D | ||
| Common StockF1 | holding | — | — | — | 7,498 | I | By Milfam I L.P. | |
| 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 StockF1 | holding | — | — | — | 276,785 | I | By Trust C - Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 172,187 | I | By Milgrat (T10) |
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