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