Filing Details
- Accession Number:
- 0001144204-19-011660
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-01 16:50:38
- Reporting Period:
- 2019-02-27
- Accepted Time:
- 2019-03-01 16:50:38
- 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 |
|---|---|---|---|---|---|---|---|
| 1086742 | W Robert Loren D | 475 10Th Avenue 4Th Floor New York NY 10018 | Ceo & Chairman | Yes | Yes | 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 | 2019-02-27 | 1,203 | $1.74 | 1,187,849 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-02-27 | 3,197 | $1.75 | 1,191,046 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-02-28 | 200 | $1.71 | 1,191,246 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-02-28 | 600 | $1.72 | 1,191,846 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Acquisiton | 2019-02-28 | 2,578,947 | $0.00 | 2,578,947 | $1.70 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,578,947 | 2019-02-28 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 526,283 | Indirect | See Footnote |
Footnotes
- The option vests as the Registrant's common stock achieving the following price targets (price/shares): (i) $3.00/736,842 shares; (ii) $5.00/626,316 shares; (iii) $7.00/515,789 shares; (iv) $9.00/405,263 shares; and (v) $11.00/294,737 shares.
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