SEC Form 4 · accession 0001144204-16-092676
XCel Brands, Inc. · XELB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Giuseppe Falco
Officer — See Remarks
Period of report
Mar 31, 2016
Accepted (ET)
Apr 4, 2016 · 8:07 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 | holding | — | — | — | 271,762 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1 | $5.80 | Mar 31, 2016 | A | 200,000 | A | — | Mar 31, 2021 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1The option vests as to one-third of the shares on each of March 31, 2017, 21018 and 2019.
Remarks
President and Chief Operating Officer of the Isaac Mizrahi Brand