-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WHFugpDunNSuXsM3flNdBDytx15P/OJat+dU90UqNifmERYgkSQelSkZRzsDQEv1 vtPGl+2k2ctTCIma3rH/Ig== 0000945621-02-000216.txt : 20020820 0000945621-02-000216.hdr.sgml : 20020820 20020820153106 ACCESSION NUMBER: 0000945621-02-000216 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020731 FILED AS OF DATE: 20020820 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANS WORLD CORP CENTRAL INDEX KEY: 0000914577 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO DEALERS & GASOLINE STATIONS [5500] IRS NUMBER: 133738518 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25244 FILM NUMBER: 02743837 BUSINESS ADDRESS: STREET 1: 545 FIFTH AVE STREET 2: STE 940 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2129833355 MAIL ADDRESS: STREET 1: 545 FIFTH AVE STREET 2: STE 940 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: TRANS WORLD GAMING CORP DATE OF NAME CHANGE: 19941027 COMPANY DATA: COMPANY CONFORMED NAME: BAKER CHRISTOPHER P CENTRAL INDEX KEY: 0001059102 OWNER IRS NUMBER: 133738518 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 120 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6174231080 MAIL ADDRESS: STREET 1: 120 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 4 1 form-4.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Baker Christopher Perry - -------------------------------------------------------------------------------- (Last) (First) (Middle) 303 Congress Street, Suite 301 - -------------------------------------------------------------------------------- (Street) Boston MA 02210 - -------------------------------------------------------------------------------- (City) (State) (Zip) Trans World Corporation (formerly Trans World Gaming Corp.) (TWCP) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol ###-##-#### ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) 8/02 ________________________________________________________________________________ 4. Statement for Month/Year ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [_] Form filed by one Reporting Person [X] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 7/31/02 P 27,000 A $0.10 15,165,677 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/20/02 C 387,806 A $0.18 15,165,677 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/20/02 C 775,611 A $0.18 15,165,677 I By C.P. Baker Venture Fund I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/20/02 C 9,696,389 A $0.18 15,165,677 I By Anasazi Partners - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/28/02 X 1,094,309 A $0.01 15,165,677 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/28/02 X 305,691 A $0.01 15,165,677 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/28/02 X 104,675 A $0.01 15,165,677 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5/28/02 X 218,862 A $0.01 15,165,677 I By C.P. Baker Venture Fund I ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks Warrants Common (right to buy) $0.01 3/31/98 P 1,094,309(A) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks Warrants Common (right to buy) $0.01 3/31/98 P 305,691(A) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks Warrants Common (right to buy) $0.01 3/31/98 P 104,675(A) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks By C.P. Warrants Common Venture (right to buy) $0.01 3/31/98 P 218,862(A) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 I Fund I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks By C.P. Warrants Common Venture (right to buy) $0.01 5/28/02 X 218,862(D) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 I Fund I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks Warrants Common (right to buy) $0.01 5/28/02 X 1,094,309(D) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks Warrants Common (right to buy) $0.01 5/28/02 X 305,691(D) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stocks Warrants Common (right to buy) $0.01 5/28/02 X 104,675(D) Immed. 6/30/02 Stock $0.01 $0.00 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ 12% Convertible debentures due Common 2005 (1) $0.18 3/15/02 P 386,807(A) Immed. 5/20/02 Stock $0.18 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ 12% Convertible debentures due Common 2005 (1) $0.18 5/20/02 C 386,807(D) Immed. 5/20/02 Stock $0.18 1,213,334 D - ------------------------------------------------------------------------------------------------------------------------------------ 12% Convertible By C.P. debentures due Common Venture 2005 (1) $0.18 3/15/02 P 775,611(A) Immed. 5/20/02 Stock $0.18 1,213,334 I Fund I - ------------------------------------------------------------------------------------------------------------------------------------ 12% Convertible By C.P. debentures due Common Venture 2005 (1) $0.18 5/20/02 C 775,611(D) Immed. 5/20/02 Stock $0.18 1,213,334 I Fund I - ------------------------------------------------------------------------------------------------------------------------------------ 12% Convertible By debentures due Common Anasazi 2005 (1) $0.18 3/15/02 P 9,696,389(A) Immed. 5/20/02 Stock $0.18 1,213,334 I Partners - ------------------------------------------------------------------------------------------------------------------------------------ 12% Convertible By debentures due Common Anasazi 2005 (1) $0.18 5/20/02 C 9,696,389(D) Immed. 5/20/02 Stock $0.18 1,213,334 I Partners ====================================================================================================================================
Explanation of Responses: (1) In September 1996, non-convertible debentures with a maturity date of 12/31/2005 were acquired. On March 15, 2002, the holders of the non-convertible debentures entered into an agreement to convert the non-convertible debentures into fixed-price convertible debentures and to exercise the conversion on May 20, 2002. /s/ Christopher P. Baker 8/19/2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. JOINT FILER INFORMATION Name: Anasazi Partners, Limited Partnership Address: 120 Boylston Street Boston, MA 02116 Designated Filer: Christopher Baker Issuer & Ticker Symbol: Trans World Corporation (TWCP) Statement for Month/Year: 8/02 Signature: ANASAZI PARTNERS, LIMITED PARTNERSHIP By: CP BAKER LLC, its general partner By: /s/ Christopher P. Baker ------------------------------------ Name: Christopher P. Baker Title: President Name: CP Baker LLC Address: 120 Boylston Street Boston, MA 02116 Designated Filer: Christopher Baker Issuer & Ticker Symbol: Trans World Corporation (TWCP) Statement for Month/Year: 8/02 Signature: CP BAKER LLC By: /s/ Christopher P. Baker ------------------------------------ Name: Christopher P. Baker Title: President Name: C.P. Baker & Company, Ltd. Address: 120 Boylston Street Boston, MA 02116 Designated Filer: Christopher Baker Issuer & Ticker Symbol: Trans World Corporation (TWCP) Statement for Month/Year: 8/02 Signature: C.P. BAKER & COMPANY, LTD. By: /s/ Christopher P. Baker ------------------------------------ Name: Christopher P. Baker Title: President -----END PRIVACY-ENHANCED MESSAGE-----