0001140361-14-028912.txt : 20140721 0001140361-14-028912.hdr.sgml : 20140721 20140721163349 ACCESSION NUMBER: 0001140361-14-028912 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140619 FILED AS OF DATE: 20140721 DATE AS OF CHANGE: 20140721 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: 14984960 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 & COMPANY, LLC CENTRAL INDEX KEY: 0001176974 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31553 FILM NUMBER: 14984961 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 FORMER NAME: FORMER CONFORMED NAME: TRAFELET BROKAW & COMPANY, LLC DATE OF NAME CHANGE: 20140213 FORMER NAME: FORMER CONFORMED NAME: TRAFELET & CO LLC DATE OF NAME CHANGE: 20020701 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: 14984962 MAIL ADDRESS: STREET 1: C/O TRAFELET & COMPANY, LLC STREET 2: 590 MADISON AVENUE, 26TH 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: 14984963 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 FORMER NAME: FORMER CONFORMED NAME: TRAFELET & CO ADVISORS, LLC DATE OF NAME CHANGE: 20140509 FORMER NAME: FORMER CONFORMED NAME: TRAFELET & CO ADVISORS LLC DATE OF NAME CHANGE: 20040217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRAFELET BROKAW 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: 14984964 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 FORMER NAME: FORMER CONFORMED NAME: TRAFELET CAPITAL MANAGEMENT, L.P. DATE OF NAME CHANGE: 20070124 4 1 doc1.xml FORM 4 X0306 4 2014-06-19 1 0001083220 XCel Brands, Inc. XELB 0001387672 TRAFELET BROKAW 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 & COMPANY, 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 2014-06-19 4 S 0 1809525 4.50 D 0 I See Footnote Common Stock Warrants 5.00 2014-06-19 4 S 0 250000 D 2013-06-04 2018-06-04 Common Stock 250000 0 I See Footnote This Form 4 is being filed on behalf of: (i) Delta Institutional, LP (the "Fund"); (ii) Trafelet & Company Advisors, LLC ("TCA"); (iii) Trafelet Brokaw Capital Management, L.P. ("TBCM"); (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". TBCM serves as investment manager to the Fund and two other private investment vehicles and, in such capacity, exercises voting and investment control over securities 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 had indirect beneficial ownership of the shares reported herein based on his relationship with TCM and TCA. The warrants were transferred for no additional consideration in connection with the sale of shares of Common Stock. /s/ TRAFELET BROKAW CAPITAL MANAGEMENT, L.P., by Trafelet & Company, LLC, the General Partner, by Remy Trafelet, Managing Member 2014-07-21 /s/ TRAFELET & COMPANY, LLC, by Remy Trafelet, Managing Member 2014-07-21 /s/ TRAFELET & COMPANY ADVISORS, LLC, by Remy Trafelet, Managing Member 2014-07-21 /s/ DELTA INSTITUTIONAL, LP, by Trafelet & Company Advisors, LLC, the General Partner, by Remy Trafelet, Managing Member 2014-07-21 /s/ REMY TRAFELET 2014-07-21