0001179110-14-009702.txt : 20140623 0001179110-14-009702.hdr.sgml : 20140623 20140604161907 ACCESSION NUMBER: 0001179110-14-009702 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140603 FILED AS OF DATE: 20140604 DATE AS OF CHANGE: 20140604 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 Mark CENTRAL INDEX KEY: 0001609233 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14818 FILM NUMBER: 14891023 MAIL ADDRESS: STREET 1: 38 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203 3 1 edgar.xml FORM 3 - X0206 3 2014-06-03 0 0000795212 TRANS WORLD ENTERTAINMENT CORP TWMC 0001609233 Higgins Mark 38 CORPORATE CIRCLE ALBANY NY 12203 0 1 0 0 SVP Merchandising Common Stock, par value $.01 per share 403649 D Employee Stock Option (Right to Buy) 14.32 2015-05-02 Common Stock, par value $.01 per share 9000 D Employee Stock Options (Right to Buy) 5.32 2016-05-01 Common Stock, par value $.01 per share 8500 D Employee Stock Options (Right to Buy) 5.50 2017-05-01 Common Stock, par value $.01 per share 7750 D Employee Stock Option (Right to Buy) 1.73 2021-03-01 Common Stock, par value $.01 per share 20000 D Employee Stock Option (Right to Buy) 2.53 2022-05-07 Common Stock, par value $.01 per share 10000 D Employee Stock Option (Right to Buy) 4.87 2023-06-21 Common Stock, par value $.01 per share 10000 D Employee Stock Option (Right to Buy) 3.36 2024-06-03 Common Stock, par value $.01 per share 25000 D All of the equity transactions listed above are pursuant to equity plans qualified under Rule16b-3 and exempt from Section 16(b) of the Securities Exchange Act. All of the options vest ratably over four years. All of the options vest 60% on the third anniversary of grant an 20% on the fourth and fifth anniversay of grant. /s/ Mark Higgins 2014-06-04