0001104659-24-043733.txt : 20240404 0001104659-24-043733.hdr.sgml : 20240404 20240404192057 ACCESSION NUMBER: 0001104659-24-043733 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240403 FILED AS OF DATE: 20240404 DATE AS OF CHANGE: 20240404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DiSanto Mark CENTRAL INDEX KEY: 0001530941 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37527 FILM NUMBER: 24824405 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] ORGANIZATION NAME: 05 Real Estate & Construction 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 tm2411119-4_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-04-03 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 2024-04-03 4 A 0 10000 0 A 46500 D Common Stock 1296352 I See Footnote Common Stock 82392 I See Footnote Stock Option 0.85 2024-04-03 4 A 0 25000 0 A 2029-04-03 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 3, 2025 and April 3, 2026, 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. The number of shares held prior to the transaction were inadvertently overstated in previous filings and is corrected in this filing. Represents shares held by other trusts, 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 3, 2025 and April 3, 2026. /s/ Mark DiSanto 2024-04-04