Current Report Filing (8-k)
March 29 2019 - 2:15PM
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): March 28, 2019
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 March 28, 2019, Trans World Entertainment Corporation issued
a press release announcing its financial results for its fiscal fourth quarter ended February 2, 2019. 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 March 28, 2019. 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
February 3, 2018.
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: March 29, 2019
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/s/ Edwin Sapienza
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Edwin Sapienza
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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 March 28, 2019.
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99.2
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Trans World Entertainment Corporation Transcript for Earnings Call held on March 28, 2019.
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