SEC Form 4 · accession 0001089212-15-000011
XCel Brands, Inc. · XELB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
BUCKINGHAM CAPITAL MANAGEMENT INC
10% Owner
Period of report
Dec 22, 2014
Accepted (ET)
May 21, 2015 · 2:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001083220
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1,F2,F3 | Dec 22, 2014 | P | 400,000 | $9.00 | A | 1,576,581 | I | See Footnote 2 & 3 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11. Purchase of restricted shares of common stockof the Issuer in a private placement described on the Issuer's Form 8-K filed on December 24, 2014.
- F22. This statement is being filed by Buckingham Capital Management, Inc. and Buckingham Research Group Incorporated. Buckingham Capital Management, Inc. is a registered investment adviser which acts as the general partner and investment manager for various private investment funds and which also manages other accounts on a discretionary basis that directly hold the securities reported herein. Buckingham Research Group Incorporated, a registered broker-dealer, is the parent company of Buckingham Capital Management, Inc.
- F33. Each of Buckingham Capital Management, Inc. and Buckingham Research Group Incorporated disclaims beneficial ownership of the securities reported herein, except to the extent of such person's pecuniary interest therein, if any, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each such person states that the inclusion of the securities reported herein shall not be deemed an admission of beneficial ownership of the securities for purposes of Section 16 or for any other purpose.