0001179110-18-012270.txt : 20181019 0001179110-18-012270.hdr.sgml : 20181019 20181019101304 ACCESSION NUMBER: 0001179110-18-012270 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181015 FILED AS OF DATE: 20181019 DATE AS OF CHANGE: 20181019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sapienza Edwin CENTRAL INDEX KEY: 0001756236 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14818 FILM NUMBER: 181129479 MAIL ADDRESS: STREET 1: 38 CORPORATE CIRCLE CITY: ALBANY STATE: NY ZIP: 12203 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 3 1 edgar.xml FORM 3 - X0206 3 2018-10-15 0 0000795212 TRANS WORLD ENTERTAINMENT CORP TWMC 0001756236 Sapienza Edwin 38 CORPORATE CIRCLE ALBANY NY 12203 0 1 0 0 Chief Financial Officer Common Stock, par value $0.01 per share 1250 D Employee Stock Options(Right to Buy) 1.73 Common stock, par value $0.01 per share 8000 D Employee Stock Options(Right to Buy) 2.53 Common stock, par value $0.01 per share 10000 D Employee Stock Options(Right to Buy) 4.87 Common stock, par value $0.01 per share 10000 D Employee Stock Options(Right to Buy) 3.36 Common stock, par value $0.01 per share 7500 D Employee Stock Options(Right to Buy) 3.88 Common stock, par value $0.01 per share 7500 D Employee Stock Options(Right to Buy) 3.81 Common stock, par value $0.01 per share 7500 D Employee Stock Options(Right to Buy) 1.85 Common stock, par value $0.01 per share 25000 D Employee Stock Options(Right to Buy) 0.98 Common stock, par value $0.01 per share 25000 D Restricted Stock Units 0 Common stock, par value $0.01 per share 3750 D Restricted Stock Units 0 Common stock, par value $0.01 per share 5000 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. All grants expire 10 years from the date of grant. All grants are fully vested as of the earliest reporting date. 6,000 options are vested as of the earliest reporting date. 1,500 stock options vest on 6/3/2019. 5,625 options are vested as of the earliest reporting date. 1,875 stock options vest on 5/15/2019. 3,750 options are vested as of the earliest reporting date. 1,875 stock options vest on 5/6/2019 and 1,875 stock options vest on 5/6/2020. 6,250 options are vested as of the earliest reporting date. 6,250 stock options vest on 5/1/2019, 6,250 stock options vest on 5/1/2020 and 6,250 options vest on 5/1/2021. 6,250 stock options vest on 6/27/2019, 6,250 stock options vest on 6/27/2020, 6,250 stock options vest on 6/27/2021 and 6,250 options vest on 5/1/2022. 1,250 RSUs vest on 5/1/2019, 1,250 RSUs vest on 5/1/2020 and 1,250 RSUs vest on 5/1/2021. 1,250 RSUs vest on 6/27/2019, 1,250 RSUs vest on 6/27/2020, 1,250 RSUs vest on 6/27/2021 and 1,250 RSUs vest on 6/27/2022. Restricted Stock Units terminate upon vesting. Edwin J. Sapienza 2018-10-19