0001179110-13-011783.txt : 20130715 0001179110-13-011783.hdr.sgml : 20130715 20130715155931 ACCESSION NUMBER: 0001179110-13-011783 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110227 FILED AS OF DATE: 20130715 DATE AS OF CHANGE: 20130715 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14818 FILM NUMBER: 13968310 MAIL ADDRESS: STREET 1: C/O TRANS WORLD ENTERTAINMENT CORP STREET 2: 38 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203 4 1 edgar.xml FORM 4 - X0306 4 2011-02-27 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 $.01 per share 2011-02-27 4 J 0 253213 1.69 D 14369412 D Common Stock par value $.01 per share 2013-07-11 4 J 0 600000 5.22 D 250000 I Robert J. Higgins Irrevocable Trust Common Stock par value $.01 per share 137500 I Higgins Foundation Common Stock par value $.01 per share 50550 I Spouse Employee Stock Options (Right to Buy) Common Stock par value $.01 per share 1025000 1025000 D Stock Settled Appreciation Rights Common Stock par value $.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. The Robert J. Higgins TR UA Dated February 2, 2009 ("2009 GRAT") was formed on February 2, 2009 and received 253,213 shares on that date as a gift from Robert J. Higgins. On February 2, 2011, the 253,213 shares held by the 2009 GRAT were distributed to Mr. Higgins' grandchildren and the 2009 GRAT was terminated. 600,000 shares held in the Robert J. Higgins 2012 Irrevocable Trust, established 12/28/2012, were distributed from the trust to Mr. Higgins' children. Mr. Higgins' spouse is trustee for the trust. /S/ Robert J. Higgins 2013-07-15