IPO registrations (S-1, F-1) · Registrants
Kaspien Holdings Inc.
- SEC CIK
- 795212 · filings on EDGAR ↗
- Former names
- TRANS WORLD ENTERTAINMENT CORP (1994–2020); TRANS WORLD MUSIC CORP (1994–1994)
- Registration
- Form S-1, first filed 2014-03-31, last 2022-07-29; 2 initial registrations, 4 amendments
- Outcome
- Declared effective 2014-09-17
- Industry (SIC)
- Retail-Record & Prerecorded Tape Stores 5735
- Incorporated in
- NY
- Business address
- 2818 N. SULLIVAN RD., Spokane, WA 99216
- EIN
- 14-1541629
- EDGAR entity type
- operating
- Insiders and CEO pay
- Kaspien Holdings Inc. on the corporate pages
Offering terms
- Shares offered
- 4,275,342
- Listing
- Nasdaq under the symbol KSPN
- Lead underwriters
- Empery Tax Efficient III, LP (1,157,077 shares)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: KASPIEN HOLDINGS INC. Fuzzy (name and state)
- Form 5500 plan sponsor: TRANS WORLD ENTERTAINMENT CORPORATION EXACT (EIN (EXACT))
- SEC filer: Kaspien Holdings Inc. EXACT (CIK (EXACT))
- Person page: Joseph G Morone Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 9
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2014-03-31 | S-1 | S-1 (registration) | TRANS WORLD ENTERTAINMENT CORP | 0000930413-14-001536 ↗ |
| 2014-06-13 | S-1/A | S-1/A (amendment) | TRANS WORLD ENTERTAINMENT CORP | 0000930413-14-002859 ↗ |
| 2014-07-10 | S-1/A | S-1/A (amendment) | TRANS WORLD ENTERTAINMENT CORP | 0000930413-14-003187 ↗ |
| 2014-09-11 | S-1/A | S-1/A (amendment) | TRANS WORLD ENTERTAINMENT CORP | 0000930413-14-003970 ↗ |
| 2014-09-16 | S-1/A | S-1/A (amendment) | TRANS WORLD ENTERTAINMENT CORP | 0000930413-14-004010 ↗ |
| 2014-09-17 | EFFECT | EFFECT (declared effective) | TRANS WORLD ENTERTAINMENT CORP | 9999999995-14-002792 ↗ |
| 2021-03-11 | EFFECT | EFFECT (declared effective) | Kaspien Holdings Inc. | 9999999995-21-000911 ↗ |
| 2022-07-29 | S-1 | S-1 (registration) | Kaspien Holdings Inc. | 0001140361-22-027322 ↗ |
| 2022-08-08 | EFFECT | EFFECT (declared effective) | Kaspien Holdings Inc. | 9999999995-22-002298 ↗ |
Prospectus pages read 1
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2022-07-29 | S-1 | registration statement | 4,275,342 | - | Nasdaq KSPN | 1 | primary document; shares headline, underwriting table 1 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| KAUFMAN ISAAC | Director | 17 | 2006–2014 | ||
| COHEN MARK A | Director | 7 | 2006–2008 | ||
| EISENBERG BRUCE J | Officer | EVP Real Estate; EVP-Real Estate; EVP-Real Estate & Store Ops | 34 | 2006–2019 | |
| HIGGINS ROBERT J | Director,Officer,TenPercentOwner; Director,TenPercentOwner | Chairman and CEO; Chairman of the Board | 62 | 2006–2017 | |
| Litwak James A | Officer | President and COO | 8 | 2006–2010 | |
| MORONE JOSEPH G | Director | 21 | 2006–2017 | person page Fuzzy | |
| Schafer Lori J | Director | 7 | 2006–2008 | ||
| SOLOW MICHAEL | Director | 24 | 2006–2020 | ||
| SULLIVAN JOHN J | Officer | EVP and CFO; Former EVP and CFO | 12 | 2006–2012 | |
| THOMAS EDMOND | Director | 7 | 2006–2008 | ||
| FOX FRED L | Officer | EVP Merchandising & Marketing; EVP Merchandising - Marketing | 2 | 2006 | |
| HANAKA MARTIN E | Director | 16 | 2006–2019 | ||
| BREWER BRETT | Director | 4 | 2007–2008 | ||
| RILEY BRYANT R | Director; Other; TenPercentOwner | 33 | 2007–2012 | ||
| Riley Investment Management LLC | Director; Other; TenPercentOwner | 33 | 2007–2012 | ||
| Riley Investment Partners Master Fund, L.P. | TenPercentOwner | 20 | 2007–2008 | ||
| MILLER LLOYD I III | TenPercentOwner | 110 | 2008–2017 | ||
| Honeyman Michael | Officer | COO and President; Former COO and President | 14 | 2010–2013 | |
| NAHL MICHAEL C | Director | 13 | 2011–2020 | ||
| Seaver Tom G | Officer | Chief Financial Officer | 2 | 2011–2012 | |
| Anderson John | Officer | Chief Financial Officer | 15 | 2012–2018 | |
| MARKS ROBERT E | Director | 13 | 2012–2020 | ||
| Manske Mike | Officer | SVP-Merchandising & Marketing | 2 | 2013 | |
| Murray Steve | Officer | SVP-IT and Supply Chain | 2 | 2013 | |
| Higgins Mark | Officer | Former SVP Merchandising; SVP Merchandising | 7 | 2014–2015 | |
| Feurer Michael | Director,Officer; Officer | Chief Executive Officer | 18 | 2014–2020 | |
| Hoffman Scott E | Officer | Chief Marketing Officer; Chief Merchandising Officer | 6 | 2015–2017 | |
| Reickert W Michael | Director | 9 | 2016–2023 | ||
| Hoerenz Christoph | Officer | Chief Digital and Mktg Officer | 6 | 2016–2018 | |
| Robert J. Higgins TWMC Trust | TenPercentOwner | 2 | 2016–2017 | ||
| Neblett Josh | Officer | CEO, etailz | 6 | 2016–2019 | |
| SUBIN NEIL S | TenPercentOwner | 2 | 2018 | ||
| Galvin Robert | Director | 2 | 2018 | ||
| Sapienza Edwin | Officer | Chief Financial Officer; CHIEF FINANCIAL OFFICER | 10 | 2018–2022 | |
| Alimco Financial Corp | Other; TenPercentOwnerOther | 3 | 2019–2022 | ||
| Hastings Jeffrey Scott | Director | 2 | 2019 | ||
| Chopra Kunal | Officer | CEO - etailz; Principal Executive Officer | 2 | 2020 | |
| MARCUS JONATHAN ANTHONY | Director | 5 | 2020–2023 | ||
| Simpson Tom | Director | 8 | 2020–2023 | ||
| Kowalchuk Brock | Officer | Interim Chief Executive Office | 2 | 2022 | |
| HOLLIDAY MARK E | Director | 3 | 2022–2023 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | KASPIEN HOLDINGS INC. | WA | State business registries | name and state |
| SEC filer | Kaspien Holdings Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | TRANS WORLD ENTERTAINMENT CORPORATION | EIN (EXACT) | ||
| Person page | Joseph G Morone | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Retail-Record & Prerecorded Tape Stores, WA first:
- Intermix Media, Inc. CA
- WHEREHOUSE DISSOLUTION CO CA
- WEI HOLDINGS INC CA
- BARNESANDNOBLE COM INC NY
- CAMELOT MUSIC HOLDINGS INC OH
- CDNOW INC PA
- HASTINGS ENTERTAINMENT INC TX
In other datasets, the same topic (Retail) in WA:
- Form D issuer: APOP, LLC (Form D private offerings)
Interests: Retail-Record & Prerecorded Tape Stores · Retail