Current Report Filing (8-k)
November 22 2017 - 2:31PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event
reported): November 21, 2017
TRANS WORLD ENTERTAINMENT
CORPORATION
(Exact name of registrant as specified in its charter)
New York
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0-14818
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14-1541629
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(State or other jurisdiction of
incorporation or organization)
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(Commission file number)
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(I.R.S. Employer
Identification No.)
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38 Corporate Circle,
Albany, New York 12203
(Address of principal executive offices)
(518) 452-1242
(Registrant’s telephone number, including
area code)
Not Applicable
(Former name or former address, if changed
since last report)
Check the appropriate box below if the Form 8-K filing is
intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act
(17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 of this chapter).
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Emerging growth company If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act.
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ITEM 2.02. RESULTS OF OPERATIONS AND FINANCIAL CONDITION
On November 21, 2017, Trans World Entertainment
Corporation issued a press release announcing its financial results for its third quarter ended October 28, 2017. A copy
of Trans World Entertainment Corporation’s press release is furnished with this report as Exhibit 99.1, and is
incorporated herein by reference.
In accordance with General Instruction B.2 of Form 8-K, the
information in this Current Report on Form 8-K is being furnished under Item 2.02 and shall not be deemed to be “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the
liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities
Act of 1933 or the Exchange Act.
ITEM 7.01. REGULATION FD DISCLOSURE
Attached hereto as Exhibit 99.2 is the transcript for the earnings
conference call of Trans World Entertainment Corporation held on November 21, 2017. The information in this Current Report on
Form 8-K, including the exhibit attached hereto shall not be deemed “filed” for purposes of Section 18 of the Securities
Exchange Act of 1934, as amended, or otherwise subject to the liabilities under that Section. Furthermore, such information, including
the exhibit attached hereto, shall not be deemed to be incorporated by reference in any filing under the Securities Act of 1933,
as amended, except as shall be expressly set forth by specific reference in such filing.
Certain information contained in this Current Report on Form
8-K, including information in Exhibit 99.2 hereto, is forward-looking information based on current expectations and plans that
involve risks and uncertainties. Forward-looking information includes, among other things, statements concerning results of operations
and Trans World Entertainment Corporation’s strategies. Trans World Entertainment Corporation cautions that there are factors
that can cause actual results to differ materially from the forward-looking information that has been provided. The reader is
cautioned not to put undue reliance on this forward-looking information, which is not a guarantee of future performance and is
subject to a number of uncertainties and other factors, many of which are outside the control of Trans World Entertainment Corporation;
accordingly, there can be no assurance that such suggested results will be realized. For a list of Trans World Entertainment Corporation’s
risk factors, see the Company’s Annual Filing on Form 10-K with the Securities and Exchange Commission for the year ended
January 28, 2017.
ITEM 9.01. FINANCIAL STATEMENTS AND EXHIBITS
(c) EXHIBITS. The following are
furnished as Exhibits to this Report:
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act
of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
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TRANS WORLD ENTERTAINMENT CORPORATION
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Date: November 22, 2017
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/s/ John Anderson
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John Anderson
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Chief Financial Officer
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EXHIBIT INDEX
Exhibit
No.
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Description
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99.1
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Trans World Entertainment
Corporation Press Release dated November 21, 2017.
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99.2
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Trans World Entertainment Corporation Transcript for Earnings
Call held on November 21, 2017.
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