Filing Details
- Accession Number:
- 0001144204-14-038990
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-23 13:19:10
- Reporting Period:
- 2014-06-19
- Filing Date:
- 2014-06-23
- Accepted Time:
- 2014-06-23 13:19:10
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1083220 | Xcel Brands Inc. | XELB | Patent Owners & Lessors (6794) | 760307819 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1530941 | Mark Disanto | C/O Triple Crown Corp., 5351 Jaycee Avenue Harrisburg PA 17112 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2014-06-19 | 333,333 | $0.00 | 863,217 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2014-06-19 | 46,053 | $0.00 | 46,053 | $5.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
108,303 | 2013-06-05 | 2018-06-05 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 60,000 | Indirect | See Footnote |
Common Stock | 46,868 | Direct |
Footnotes
- The reporting person paid an aggregate purchase price of $1,499,998.50 was paid to purchase the 333,333 shares and 46,053 warrants reported on this Form 4.
- Represents shares held by The Mark X. DiSanto Investment Trust, of which Mr. DiSanto is trustee and as to which Mr. DiSanto has sole voting and dispositive power.
- Represents shares required by three trusts of which Mr. DiSanto is trustee and as to which Mr. DiSanto has sole voting and dispositive power.