0001179110-13-002478.txt : 20130212 0001179110-13-002478.hdr.sgml : 20130212 20130212150828 ACCESSION NUMBER: 0001179110-13-002478 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130202 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRANS WORLD ENTERTAINMENT CORP CENTRAL INDEX KEY: 0000795212 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL- COMPUTER & PRERECORDED TAPE STORES [5735] IRS NUMBER: 141541629 STATE OF INCORPORATION: NY FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 38 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203 BUSINESS PHONE: 5184521242 MAIL ADDRESS: STREET 1: 38 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203 FORMER COMPANY: FORMER CONFORMED NAME: TRANS WORLD MUSIC CORP DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HIGGINS ROBERT J CENTRAL INDEX KEY: 0000900603 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14818 FILM NUMBER: 13596761 MAIL ADDRESS: STREET 1: C/O TRANS WORLD ENTERTAINMENT CORP STREET 2: 38 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203 5 1 edgar.xml FORM 5 - X0306 5 2013-02-02 0 0 0 0000795212 TRANS WORLD ENTERTAINMENT CORP TWMC 0000900603 HIGGINS ROBERT J 38 CORPORATE CIRCLE ALBANY NY 12203 1 1 1 0 Chairman and CEO Common Stock, par value $0.01 per share 13622625 D Common Stock, par value $0.01 per share 137500 I Higgins Foundation Common Stock, par value $0.01 per share 50550 I Spouse Common Stock par value $.01 per share 850000 I Robert J. Higgins Irrevocable Trust Employee Stock Options (Right to Buy) Common Stock, par value $0.01 per share 2025000 2025000 D Stock Settled Appreciation Rights 5.32 2016-05-01 Common Stock, par value $0.01 per share 450000 450000 D All 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. Previously reported on Form 4. All grants are exercisable within 4 years and expire 10 years from date of grant. /s/ Robert J Higgins 2013-02-12