SEC Form 4 · accession 0001144204-15-021430
XCel Brands, Inc. · XELB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark DiSanto
Director · 10% Owner
Period of report
Apr 1, 2015
Accepted (ET)
Apr 6, 2015 · 7:50 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 StockF1 | Apr 1, 2015 | A | 10,000 | $0.00 | A | 63,537 | D | |
| Common StockF2 | holding | — | — | — | 863,217 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 60,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of restricted stock awarded pursuant to a restricted stock award agreement, which vest 50% of the shares on each of March 31, 2016 and March 31, 2017; provided that the reporting person may extend the vesting dates as to all or a portion of the shares, one or more times, in six-month increments, at his discretion.
- F2Represents shares held by The Mark X. DiSanto Investment Trust, of which Mr. DiSanto is trustee and as to which Mr. DiSanto has sole voting and dispositive power.
- F3Represents shares required by three trusts of which Mr. DiSanto is trustee and as to which Mr. DiSanto has sole voting and dispositive power.