4//SEC Filing
XCel Brands, Inc. 4
Accession 0001140361-14-028912
$XELBCIK 0001083220operating
Filed
Jul 20, 8:00 PM ET
Accepted
Jul 21, 4:33 PM ET
Size
15.9 KB
Accession
0001140361-14-028912
Insider Transaction Report
Form 4
TRAFELET CAPITAL MANAGEMENT, L.P.
10% Owner
Transactions
- Sale
Common Stock Warrants
2014-06-19−250,000→ 0 total(indirect: See Footnote)Exercise: $5.00From: 2013-06-04Exp: 2018-06-04→ Common Stock (250,000 underlying) - Sale
Common Stock, $0.001 par value
2014-06-19$4.50/sh−1,809,525$8,142,863→ 0 total(indirect: See Footnote)
TRAFELET & CO ADVISORS LLC
10% Owner
Transactions
- Sale
Common Stock Warrants
2014-06-19−250,000→ 0 total(indirect: See Footnote)Exercise: $5.00From: 2013-06-04Exp: 2018-06-04→ Common Stock (250,000 underlying) - Sale
Common Stock, $0.001 par value
2014-06-19$4.50/sh−1,809,525$8,142,863→ 0 total(indirect: See Footnote)
TRAFELET REMY W
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value
2014-06-19$4.50/sh−1,809,525$8,142,863→ 0 total(indirect: See Footnote) - Sale
Common Stock Warrants
2014-06-19−250,000→ 0 total(indirect: See Footnote)Exercise: $5.00From: 2013-06-04Exp: 2018-06-04→ Common Stock (250,000 underlying)
TRAFELET & CO LLC
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value
2014-06-19$4.50/sh−1,809,525$8,142,863→ 0 total(indirect: See Footnote) - Sale
Common Stock Warrants
2014-06-19−250,000→ 0 total(indirect: See Footnote)Exercise: $5.00From: 2013-06-04Exp: 2018-06-04→ Common Stock (250,000 underlying)
Delta Institutional, LP
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value
2014-06-19$4.50/sh−1,809,525$8,142,863→ 0 total(indirect: See Footnote) - Sale
Common Stock Warrants
2014-06-19−250,000→ 0 total(indirect: See Footnote)Exercise: $5.00From: 2013-06-04Exp: 2018-06-04→ Common Stock (250,000 underlying)
Footnotes (2)
- [F1]This Form 4 is being filed on behalf of: (i) Delta Institutional, LP (the "Fund"); (ii) Trafelet & Company Advisors, LLC ("TCA"); (iii) Trafelet Brokaw Capital Management, L.P. ("TBCM"); (iv) Trafelet & Company, LLC ("TC"); and (v) Remy W. Trafelet ("Mr. Trafelet"), the managing member of TC and TCA. The persons and entities referred to in items (i)-(v) hereof may be collectively referred to herein as the "Reporting Persons". TBCM serves as investment manager to the Fund and two other private investment vehicles and, in such capacity, exercises voting and investment control over securities held for the accounts of the Fund and such other private investment vehicles. TCA serves as the general partner to the Fund and such other private investment vehicles. TC serves as the general partner of TCM. Mr. Trafelet may be deemed to have had indirect beneficial ownership of the shares reported herein based on his relationship with TCM and TCA.
- [F2]The warrants were transferred for no additional consideration in connection with the sale of shares of Common Stock.
Documents
Issuer
XCel Brands, Inc.
CIK 0001083220
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001083220
Filing Metadata
- Form type
- 4
- Filed
- Jul 20, 8:00 PM ET
- Accepted
- Jul 21, 4:33 PM ET
- Size
- 15.9 KB