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EX-99.2 - Kaspien Holdings Inc.c83088_ex99-2.htm
EX-99.1 - Kaspien Holdings Inc.c83088_ex99-1.htm

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 19, 2015

 

 

 

TRANS WORLD ENTERTAINMENT CORPORATION
(Exact name of registrant as specified in its charter)

 

 

 

New York 0-14818 14-1541629
     
(State or other jurisdiction of
incorporation or organization)
(Commission file number) (I.R.S. Employer
Identification No.)

 

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:

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
   
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
   
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
   
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

ITEM 2.02. RESULTS OF OPERATIONS AND FINANCIAL CONDITION

 

On November 19, 2015, the Company issued a press release announcing its financial results for its fiscal second quarter ended October 31, 2015.  A copy of the Company’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 Item 2.02 and Exhibit 99.1 of this Current Report on Form 8-K is being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise subject to the liabilities of that Section. Furthermore, such information, including Exhibit 99.1 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.

 

ITEM 7.01. REGULATION FD DISCLOSURE

 

Attached hereto as Exhibit 99.2 is the transcript for the earnings conference call of the Company held on August 20, 2015. The information in this Current Report on Form 8-K, including Exhibit 99.2 attached hereto, shall not be deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liabilities under that Section. Furthermore, such information, including Exhibit 99.2 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 the Company’s strategies. The Company 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 the Company; accordingly, there can be no assurance that such suggested results will be realized. For a list of the Company’s risk factors, see the Company’s annual filing on Form 10-K with the Securities and Exchange Commission for the year ended January 31, 2015.

 

ITEM 9.01.  FINANCIAL STATEMENTS AND EXHIBITS

 

(c) EXHIBITS. The following are furnished as Exhibits to this Report:

 

Exhibit    
No.   Description
     
99.1   Trans World Entertainment Corporation Press Release dated October 31,  2015.
     
99.2   Trans World Entertainment Corporation Transcript for Earnings Call held on October 31, 2015.
 

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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.

 

    TRANS WORLD ENTERTAINMENT CORPORATION
       
Date:  November 20, 2015   /s/ John Anderson  
    John Anderson  
    Chief Financial Officer  
 

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EXHIBIT INDEX

 

Exhibit    
No.   Description
     
99.1   Trans World Entertainment Corporation Press Release dated November 19, 2015.
     
99.2   Trans World Entertainment Corporation Transcript of Earnings Call held on November 19, 2015.