0001144204-17-018707.txt : 20170404 0001144204-17-018707.hdr.sgml : 20170404 20170404060847 ACCESSION NUMBER: 0001144204-17-018707 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170404 DATE AS OF CHANGE: 20170404 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: FRANCIS MICHAEL CENTRAL INDEX KEY: 0001204997 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37527 FILM NUMBER: 17736157 MAIL ADDRESS: STREET 1: 6501 LEGACY DRIVE CITY: PLANO STATE: TX ZIP: 75024 4 1 v463435_4.xml OWNERSHIP DOCUMENT X0306 4 2017-03-31 0 0001083220 XCel Brands, Inc. XELB 0001204997 FRANCIS MICHAEL C/O XCEL BRANDS, INC., 475 10TH AVENUE, 4TH FLOOR NEW YORK NY 10018 1 0 0 0 Common Stock 2017-03-31 4 A 0 8000 0 A 91000 D Stock Option 2.70 2017-03-31 4 A 0 25000 0 A 2022-03-31 Common Stock 25000 25000 D Represents shares of restricted stock awarded pursuant to a restricted stock award agreement, which vests as to 50% of the shares on each of March 31, 2018 and 2019, provided that the reporting person may extend the vesting date as to all or a portion of the shares, on one or more occasions, in six month increments, in his sole discretion. The option vests as to 50% of the shares on each of March 31, 2018 and 2019 /s/ Michael R. Francis 2017-04-03