0001179110-16-029092.txt : 20160829 0001179110-16-029092.hdr.sgml : 20160829 20160829171317 ACCESSION NUMBER: 0001179110-16-029092 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160825 FILED AS OF DATE: 20160829 DATE AS OF CHANGE: 20160829 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TOP SHIPS INC. CENTRAL INDEX KEY: 0001296484 STANDARD INDUSTRIAL CLASSIFICATION: DEEP SEA FOREIGN TRANSPORTATION OF FREIGHT [4412] IRS NUMBER: 000000000 BUSINESS ADDRESS: STREET 1: 1, VASSILISSIS SOFIAS STR. & MEG. STREET 2: ALEXANDROU STR. CITY: 151 24, MAROUSSI STATE: J3 ZIP: 00000 BUSINESS PHONE: 011-30-210-81-28-107 MAIL ADDRESS: STREET 1: 1, VASSILISSIS SOFIAS STR. & MEG. STREET 2: ALEXANDROU STR. CITY: 151 24, MAROUSSI STATE: J3 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: TOP TANKERS INC. DATE OF NAME CHANGE: 20040706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ronin Capital, LLC CENTRAL INDEX KEY: 0001512282 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50859 FILM NUMBER: 161858606 BUSINESS ADDRESS: STREET 1: 350 N. ORLEANS, SUITE 2N CITY: CHICAGO STATE: IL ZIP: 60654 BUSINESS PHONE: 312-244-5284 MAIL ADDRESS: STREET 1: 350 N. ORLEANS, SUITE 2N CITY: CHICAGO STATE: IL ZIP: 60654 4 1 edgar.xml FORM 4 - X0306 4 2016-08-25 0 0001296484 TOP SHIPS INC. TOPS 0001512282 Ronin Capital, LLC 350 N. ORLEANS STREET SUITE 2N CHICAGO IL 60654-1975 0 0 1 0 Common Stock 2016-08-25 4 S 0 36381 4.785 D 20000 D Common Stock 2016-08-25 4 X 0 111250 2.80 A 131250 D Common stock 2016-08-26 4 S 0 20000 4.605 D 111250 D Warrants to Purchase Common Stock 2.8 2016-08-25 4 X 0 125000 0 D 2014-06-11 2019-06-11 Common Stock 111250 375000 D 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. /s/ Agnes Burda, authorized signatory 2016-08-29