0001144204-18-019166.txt : 20180404 0001144204-18-019166.hdr.sgml : 20180404 20180404124217 ACCESSION NUMBER: 0001144204-18-019166 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180402 FILED AS OF DATE: 20180404 DATE AS OF CHANGE: 20180404 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: 18736489 MAIL ADDRESS: STREET 1: 6501 LEGACY DRIVE CITY: PLANO STATE: TX ZIP: 75024 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 tv490299_4.xml FORM 4 X0306 4 2018-04-02 0 0001083220 XCel Brands, Inc. XELB 0001204997 FRANCIS MICHAEL C/O XCEL BRANDS, INC., 1333 BROADWAY - 10TH FLOOR NEW YORK NY 10018 1 0 0 0 Common Stock 2018-04-02 4 A 0 8000 0 A 99000 D Stock Option 3.20 2018-04-02 4 A 0 25000 0 A 2023-04-02 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 April 2, 2019 and 2020, 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 April 2, 2019 and 2020 /s/ Michael R. Francis 2018-04-03