SEC Form 4 · accession 0001209191-17-049921

TRANS WORLD ENTERTAINMENT CORP · TWMC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Aug 22, 2017

Accepted (ET)

Aug 23, 2017 · 3:04 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 Stock^F1	Aug 22, 2017	P	964	$1.50	A	8,462	I	By Milfam I L.P.
Common Stock^F1	holding	—	—		—	8,400	I	By LIMFAM LLC
Common Stock^F1	holding	—	—		—	27,197	I	By Trust A-1 - Lloyd I. Miller
Common Stock^F1	holding	—	—		—	2,054,867	I	By Trust A-4 - Lloyd I. Miller
Common Stock^F1	holding	—	—		—	45,491	I	By Milfam III L.P.
Common Stock^F1	holding	—	—		—	36,031	I	By Susan F. Miller
Common Stock^F2,F3	holding	—	—		—	0	I	See Footnote no. 3
Common Stock^F2	holding	—	—		—	1,189,802	D
Common Stock^F1	holding	—	—		—	2,472,384	I	By Milfam II L.P.
Common Stock^F1	holding	—	—		—	112,791	I	By Trust A-3 - Lloyd I. Miller
Common Stock^F1	holding	—	—		—	35,002	I	By AMIL of Ohio, LLC
Common Stock^F1	holding	—	—		—	6,000	I	By Lloyd I. Miller, III, Trustee GST Catherine C. Miller
Common Stock^F1	holding	—	—		—	6,000	I	By Lloyd I. Miller, III, Trustee GST Kimberly S. Miller
Common Stock^F1	holding	—	—		—	6,000	I	By Lloyd I. Miller, III, Trustee GST Lloyd I. Miller
Common Stock^F1	holding	—	—		—	4,000	I	By Trust A-2 - Lloyd I. Miller
Common Stock^F1,F4	holding	—	—		—	448,972	I	By Trust C - Lloyd I. Miller
Common Stock^F4	holding	—	—		—	0	I	By Milgrat (T10)

No Table II lines on this filing.

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.
F2On 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.
F3By Lloyd I. Miller, III, co-trustee with Kimberly S. Miller f/b/o Lloyd I. Miller IV and Alexandra B. Miller
F4On 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.