0001140361-13-026898.txt : 20130701
0001140361-13-026898.hdr.sgml : 20130701
20130701171538
ACCESSION NUMBER: 0001140361-13-026898
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130627
FILED AS OF DATE: 20130701
DATE AS OF CHANGE: 20130701
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: XCel Brands, Inc.
CENTRAL INDEX KEY: 0001083220
STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794]
IRS NUMBER: 760307819
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 475 10TH AVENUE
STREET 2: 4TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: (347) 727-2474
MAIL ADDRESS:
STREET 1: 475 10TH AVENUE
STREET 2: 4TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
FORMER COMPANY:
FORMER CONFORMED NAME: NETFABRIC HOLDINGS, INC
DATE OF NAME CHANGE: 20050516
FORMER COMPANY:
FORMER CONFORMED NAME: HOUSTON OPERATING CO
DATE OF NAME CHANGE: 19990402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Delta Institutional, LP
CENTRAL INDEX KEY: 0001130143
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31553
FILM NUMBER: 13945573
BUSINESS ADDRESS:
STREET 1: TRAFELET & COMPANY ADVISORS, LLC
STREET 2: 590 MADISON AVENUE, 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 201-7800
MAIL ADDRESS:
STREET 1: TRAFELET & COMPANY ADVISORS, LLC
STREET 2: 590 MADISON AVENUE, 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: DELTA INSTITUTIONAL LP
DATE OF NAME CHANGE: 20001218
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRAFELET & CO LLC
CENTRAL INDEX KEY: 0001176974
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31553
FILM NUMBER: 13945574
BUSINESS ADDRESS:
STREET 1: 590 MADISON AVENUE
STREET 2: 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-201-7800
MAIL ADDRESS:
STREET 1: 590 MADISON AVENUE
STREET 2: 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRAFELET REMY W
CENTRAL INDEX KEY: 0001297619
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31553
FILM NUMBER: 13945575
MAIL ADDRESS:
STREET 1: C/O TRAFELET & COMPANY, LLC
STREET 2: 590 MADISON AVENUE, 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRAFELET & CO ADVISORS LLC
CENTRAL INDEX KEY: 0001280506
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31553
FILM NUMBER: 13945576
BUSINESS ADDRESS:
STREET 1: 590 MADISON AVENUE
STREET 2: 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-201-7800
MAIL ADDRESS:
STREET 1: 590 MADISON AVENUE
STREET 2: 39TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRAFELET CAPITAL MANAGEMENT, L.P.
CENTRAL INDEX KEY: 0001387672
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31553
FILM NUMBER: 13945577
BUSINESS ADDRESS:
STREET 1: 590 MADISON AVENUE
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-201-7800
MAIL ADDRESS:
STREET 1: 590 MADISON AVENUE
STREET 2: 26TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
doc1.xml
FORM 4
X0306
4
2013-06-27
0
0001083220
XCel Brands, Inc.
XELB
0001387672
TRAFELET CAPITAL MANAGEMENT, L.P.
590 MADISON AVENUE
26TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001280506
TRAFELET & CO ADVISORS LLC
590 MADISON AVENUE
26TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001297619
TRAFELET REMY W
C/O TRAFELET CAPITAL MANAGEMENT, L.P.
590 MADISON AVE, 26TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001176974
TRAFELET & CO LLC
590 MADISON AVENUE
26TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001130143
Delta Institutional, LP
C/O TRAFELET & COMPANY ADVISORS LLC
590 MADISON AVENUE, 26TH FLOOR
NEW YORK
NY
10022
0
0
1
0
Common Stock, $0.001 par value
2013-06-27
4
S
0
167100
3.19
D
1809525
I
See Footnotes
Common Stock, $0.001 par value
2013-06-27
4
P
0
167100
3.19
A
1809525
I
See Footnotes
This Form 4 is being filed on behalf of: (i) Delta Institutional, LP (the "Fund"); (ii) Trafelet & Company Advisors, LLC ("TCA"); (iii) Trafelet Capital Management, L.P. ("TCM"); (iv) Trafelet & Company, LLC ("TC"); and (v) Remy W. Trafelet ("Mr. Trafelet"), the managing member of TC and TCA. The persons and entities referred to in items (i)-(v) hereof may be collectively referred to herein as the "Reporting Persons". TCM serves as investment manager to the Fund and two other private investment vehicles and, in such capacity, exercises voting and investment control over the shares of Common Stock of the Issuer held for the accounts of the Fund and such other private investment vehicles. TCA serves as the general partner to the Fund and such other private investment vehicles. TC serves as the general partner of TCM. Mr. Trafelet may be deemed to have indirect beneficial ownership of the shares reported herein based on his relationship with TCM and TCA.
The Reporting Persons are filing this Form 4 in connection with a sale of Common Stock of the Issuer by one of the private investment vehicles of which TCA serves as general partner and TCM serves as investment manager, to two other private investment vehicles of which TCA serves as general partner and TCM serves as investment manager, one of which is the Fund, which acquired 153,732 of the total 167,100 shares sold.
As of June 27, 2013, the Fund directly owns 1,663,028 shares of Common Stock and 227,291 warrants. TCM, TC, TCA and Mr. Trafelet may be deemed to beneficially own 1,809,525 shares of Common Stock and 250,000 warrants.
Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
/s/ TRAFELET CAPITAL MANAGEMENT, L.P., by Trafelet & Company, LLC, the General Partner, by Remy Trafelet, Managing Member
2013-07-01
/s/ TRAFELET & COMPANY, LLC, by Remy Trafelet, Managing Member
2013-07-01
/s/ TRAFELET & COMPANY ADVISORS, LLC, by Remy Trafelet, Managing Member
2013-07-01
/s/ DELTA INSTITUTIONAL, LP, by Trafelet & Company Advisors, LLC, the General Partner, by Remy Trafelet, Managing Member
2013-07-01
/s/ REMY TRAFELET
2013-07-01