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Share Name | Share Symbol | Market | Type |
---|---|---|---|
TOP Ships Inc | NASDAQ:TOPS | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 12.38 | 12.38 | 13.25 | 0 | 01:00:00 |
TOP SHIPS INC.
|
(Name of Issuer)
|
Common Stock, par value $0.01 per share
|
(Title of Class of Securities)
|
Y8897Y602
|
(CUSIP Number)
|
George Economou
G.C. Economou & Associates
11 Kanari Street
106 71 Athens, Greece
011 (30) 210 364 0030
|
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
|
August 15, 2017
|
(Date of Event Which Requires Filing of This Statement)
|
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d‑1(f) or 240.13d-1(g), check the following box
☐
.
|
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
|
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
|
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
|
CUSIP No.
|
Y8897Y602
|
1.
|
NAME OF REPORTING PERSONS
Family Trading Inc.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||
(a)
|
[X]
|
||
(b)
|
[_]
|
||
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
|
7.
|
SOLE VOTING POWER
0
|
8.
|
SHARED VOTING POWER
1,794,412 (1)
|
9.
|
SOLE DISPOSITIVE POWER
0
|
10.
|
SHARED DISPOSITIVE POWER
1,794,412 (1)
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,412 (1)
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
[_]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
29.6% (2)
|
14.
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No.
|
Y8897Y602
|
1.
|
NAME OF REPORTING PERSONS
Sovereign Holdings Inc.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||
(a)
|
[X]
|
||
(b)
|
[_]
|
||
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
|
7.
|
SOLE VOTING POWER
0
|
8.
|
SHARED VOTING POWER
55
(1)
|
9.
|
SOLE DISPOSITIVE POWER
0
|
10.
|
SHARED DISPOSITIVE POWER
|
||
55
(1)
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
55 (1)
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
[_]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 0.1% (2)
|
14.
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No.
|
Y8897Y602
|
1.
|
NAME OF REPORTING PERSONS
Epsilon Holdings Inc.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||
(a)
|
[X]
|
||
(b)
|
[_]
|
||
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
|
7.
|
SOLE VOTING POWER
0
|
8.
|
SHARED VOTING POWER
25
(1)
|
9.
|
SOLE DISPOSITIVE POWER
0
|
10.
|
SHARED DISPOSITIVE POWER
|
||
25
(1)
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25 (1)
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
[_]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 0.1% (2)
|
14.
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No.
|
Y8897Y602
|
1.
|
NAME OF REPORTING PERSONS
Oscar Shipholding Ltd
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||
(a)
|
[X]
|
||
(b)
|
[_]
|
||
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
|
7.
|
SOLE VOTING POWER
0
|
8.
|
SHARED VOTING POWER
17
(1)
|
9.
|
SOLE DISPOSITIVE POWER
0
|
10.
|
SHARED DISPOSITIVE POWER
|
||
17
(1)
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17 (1)
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
[_]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 0.1% (2)
|
14.
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No.
|
Y8897Y602
|
1.
|
NAME OF REPORTING PERSONS
Race Navigation Inc.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||
(a)
|
[X]
|
||
(b)
|
[_]
|
||
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
|
7.
|
SOLE VOTING POWER
0
|
8.
|
SHARED VOTING POWER
3,025,028 (1)
|
9.
|
SOLE DISPOSITIVE POWER
0
|
10.
|
SHARED DISPOSITIVE POWER
3,025,028 (1)
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,025,028 (1)
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
[_]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
41.5% (2)
|
14.
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No.
|
Y8897Y602
|
1.
|
NAME OF REPORTING PERSONS
Tankers Family Inc.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||
(a)
|
[X]
|
||
(b)
|
[_]
|
||
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
|
7.
|
SOLE VOTING POWER
0
|
8.
|
SHARED VOTING POWER
20 (1)(2)
|
9.
|
SOLE DISPOSITIVE POWER
0
|
10.
|
SHARED DISPOSITIVE POWER
|
||
20 (1)(2)
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20 (1)(2)
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
[_]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 0.1% (3)
|
14.
|
TYPE OF REPORTING PERSON
CO
|
CUSIP No.
|
Y8897Y602
|
1.
|
NAME OF REPORTING PERSONS
The Lax Trust
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||
(a)
|
[X]
|
||
(b)
|
[_]
|
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
New Zealand
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
|
7.
|
SOLE VOTING POWER
0
|
8.
|
SHARED VOTING POWER
4,819,557
(1)
|
9.
|
SOLE DISPOSITIVE POWER
0
|
10.
|
SHARED DISPOSITIVE POWER
|
||
4,819,557
(1)
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,819,557 (1)
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
[_]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.1% (2)
|
14.
|
TYPE OF REPORTING PERSON
OO
|
a. |
the price per share issued upon an equity offering of the Issuer;
|
b. |
the exercise price of warrants or options for Common Shares;
|
c. |
the conversion price of any convertible security into Common Shares; or
|
d. |
the implied exchange price of the Common Shares pursuant to an asset to equity or liability to equity swap,
|
Exhibit A
|
Joint Filing Undertaking.
|
Exhibit B
|
Amended Family Trading Credit Facility
(incorporated by reference to the Reporting Persons' Schedule 13D/A filed with the Commission on March 1, 2017).
|
Exhibit C
|
Form of Warrant Agreement (i
ncorporated by reference to the Issuer's Post-Effective Amendment No. 1 to the Registration Statement on Form F-1, filed with the Commission on May 9, 2016 (File No. 333-194690)).
|
Exhibit D
|
Statement of Designations of Series D Preferred Shares (i
ncorporated by reference to the Issuer's Current Report on Form 6-K, filed with the Commission on May 8, 2017).
|
Dated: August 16, 2017
|
FAMILY TRADING INC.
|
||
By:
|
/s/ Dimosthenis Eleftheriadis
|
||
Name:
|
Dimosthenis Eleftheriadis
|
||
Title:
|
President/Director
|
||
SOVEREIGN HOLDINGS INC.
|
|||
By:
|
/s/ Annita Hadjipaschali
|
||
Name:
|
Annita Hadjipaschali
|
||
Title:
|
President / Director
|
||
OSCAR SHIPHOLDING LTD
|
|||
By:
|
/s/ Pinelopi Platsouka
|
||
Name:
|
Pinelopi Platsouka
|
||
Title:
|
Vice President / Secretary
|
||
EPSILON HOLDINGS INC.
|
|||
By:
|
/s/ Dimosthenis Eleftheriadis
|
||
Name:
|
Dimosthenis Eleftheriadis
|
||
Title:
|
President/Treasurer/Director
|
||
RACE NAVIGATION INC.
|
|||
By:
|
/s/ Stylianos Giamanis
|
||
Name:
|
Stylianos Giamanis
|
||
Title:
|
President/Treasurer/Director
|
||
TANKERS FAMILY INC.
|
|||
By:
|
/s/ Dimosthenis Eleftheriadis
|
||
Name:
|
Dimosthenis Eleftheriadis
|
||
Title:
|
Vice President / Secretary
|
||
THE LAX TRUST
|
|||
NEW ZEALAND TRUST CORPORATION LIMITED, as Trustee
|
|||
By:
|
/s/ Karen Marshall
|
||
Name:
|
Karen Marshall
|
||
Title:
|
Director
|
Dated: August 16, 2017
|
FAMILY TRADING INC.
|
||
By:
|
/s/ Dimosthenis Eleftheriadis
|
||
Name:
|
Dimosthenis Eleftheriadis
|
||
Title:
|
President / Director
|
||
SOVEREIGN HOLDINGS INC.
|
|||
By:
|
/s/ Annita Hadjipaschali
|
||
Name:
|
Annita Hadjipaschali
|
||
Title:
|
President / Director
|
||
OSCAR SHIPHOLDING LTD
|
|||
By:
|
/s/ Pinelopi Platsouka
|
||
Name:
|
Pinelopi Platsouka
|
||
Title:
|
Vice President / Secretary
|
||
EPSILON HOLDINGS INC.
|
|||
By:
|
/s/ Dimosthenis Eleftheriadis
|
||
Name:
|
Dimosthenis Eleftheriadis
|
||
Title:
|
President/Treasurer/Director
|
||
RACE NAVIGATION INC.
|
|||
By:
|
/s/ Stylianos Giamanis
|
||
Name:
|
Stylianos Giamanis
|
||
Title:
|
President/Treasurer/Director
|
||
TANKERS FAMILY INC.
|
|||
By:
|
/s/ Dimosthenis Eleftheriadis
|
||
Name:
|
Dimosthenis Eleftheriadis
|
||
Title:
|
Vice President / Secretary
|
||
THE LAX TRUST
|
|||
NEW ZEALAND TRUST CORPORATION LIMITED, as Trustee
|
|||
By:
|
/s/ Karen Marshall
|
||
Name:
|
Karen Marshall
|
||
Title:
|
Director
|
1 Year TOP Ships Chart |
1 Month TOP Ships Chart |
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