0001104659-23-095385.txt : 20230825 0001104659-23-095385.hdr.sgml : 20230825 20230825165630 ACCESSION NUMBER: 0001104659-23-095385 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230823 FILED AS OF DATE: 20230825 DATE AS OF CHANGE: 20230825 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fielding James D CENTRAL INDEX KEY: 0001745384 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37527 FILM NUMBER: 231209083 MAIL ADDRESS: STREET 1: C/O XCEL BRANDS, INC. STREET 2: 1333 BROADWAY, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 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: 1333 BROADWAY STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: (347) 727-2474 MAIL ADDRESS: STREET 1: 1333 BROADWAY STREET 2: 10TH 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 4 1 tm2324888-3_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-08-23 0 0001083220 XCel Brands, Inc. XELB 0001745384 Fielding James D C/O XCEL BRANDS, INC., 1333 BROADWAY NEW YORK NY 10018 1 0 0 0 0 Common Stock 2023-08-23 4 A 0 10000 0 A 40000 D Stock Options 1.51 2023-08-23 4 A 0 25000 0 A 2028-04-01 Common Stock 25000 25000 D Represents shares of restricted stock awarded pursuant to a restated stock agreement, which vests as to 50% of the shares on each of April 1, 2024 and April 1, 2025, provided that the reporting person may extend the vesting date as to all or a portion of the shares, one or more times, in six month increments, at his sole discretion. The options vest as to 50% of the shares on each of April 1, 2024 and April 1, 2025. /s/ James Fielding 2023-08-25