SEC Form 4 · accession 0001144204-16-126836
XCel Brands, Inc. · XELB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Loren Robert W D
Officer — CEO and Chairman · Director · 10% Owner
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 5:42 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 | Sep 30, 2016 | F | 115,500 | $4.99 | D | 1,777,021 | D | |
| Common StockF2 | holding | — | — | — | 526,283 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the surrender of shares to the issuer in payment of tax liability incident to the vesting of restricted stock
- F2Represents shares held by the Irrevocable Trust of Rose Dempsey, of which Mr. D'Loren has sole voting and dispositive power.