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