0001104659-23-095387.txt : 20230825 0001104659-23-095387.hdr.sgml : 20230825 20230825165815 ACCESSION NUMBER: 0001104659-23-095387 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: DiSanto Mark CENTRAL INDEX KEY: 0001530941 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37527 FILM NUMBER: 231209089 MAIL ADDRESS: STREET 1: C/O XCEL BRANDS, INC. STREET 2: 475 10TH AVENUE, 4TH 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 tm2324888-4_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-08-23 0 0001083220 XCel Brands, Inc. XELB 0001530941 DiSanto Mark C/O TRIPLE CROWN CORP., 5351 JAYCEE AVENUE HARRISBURG PA 17112 1 0 0 0 0 Common Stock 2023-08-23 4 A 0 10000 0 A 25000 D Common Stock 1032613 I See Footnote Common Stock 82392 I See Footnote Stock Option 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. Represents shares held by The Mark X DiSanto Investment Trust, of which Mr. DiSanto is trustee and as to which Mr. DiSanto has sole voting dispositive power. Represents shares held by other truests, of which Mr. DiSanto is trustee and as to which Mr. DiSanto has sole voting dispositive power. The options vest as to 50% of the shares on each of April 1, 2024 and April 1, 2025. /s/ Mark DiSanto 2023-08-25