Filing Details
- Accession Number:
- 0001179110-16-029092
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-29 17:13:17
- Reporting Period:
- 2016-08-25
- Filing Date:
- 2016-08-29
- Accepted Time:
- 2016-08-29 17:13:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1296484 | Top Ships Inc. | TOPS | Deep Sea Foreign Transportation Of Freight (4412) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1512282 | Ronin Capital, Llc | 350 N. Orleans Street Suite 2N Chicago IL 60654-1975 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2016-08-25 | 36,381 | $4.79 | 20,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-25 | 111,250 | $2.80 | 131,250 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2016-08-26 | 20,000 | $4.61 | 111,250 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | X | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants to Purchase Common Stock | Disposition | 2016-08-25 | 125,000 | $0.00 | 111,250 | $2.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 375,000 | 2014-06-11 | 2019-06-11 | No | 4 | X | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $4.67 to $4.90. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- This transaction was executed in multiple trades at prices ranging from $4.36 to $4.85. The price reported above reflects the average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- Each warrant is exercisable for 0.89 shares of common stock. After giving effect to the exercise of 125,000 warrants to purchase 111,250 shares of common stock on August 25, 2016, the reporting person beneficially owns 375,000 warrants to purchase 333,750 shares of common stock.
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