Filing Details

Accession Number:
0001089212-15-000011
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-05-21 14:51:42
Reporting Period:
2014-12-22
Filing Date:
2015-05-21
Accepted Time:
2015-05-21 14:51:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1083220 Xcel Brands Inc. XELB Patent Owners & Lessors (6794) 760307819
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1089212 Buckingham Capital Management Inc 485 Lexington Avenue
3Rd Fl
New York NY 10017
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.001 Par Value Acquisiton 2014-12-22 400,000 $9.00 1,576,581 No 4 P Indirect See Footnote 2 & 3
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnote 2 & 3
Footnotes
  1. 1. 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.
  2. 2. 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.
  3. 3. 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.