XCel Brands, Inc. — Director's Dealing 2014

Jun 23, 2014

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: XCel Brands, Inc. (XELB)
CIK: 0001083220
Period of Report: 2014-06-19

Reporting Person: DiSanto Mark (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-06-19	Common Stock	P	333333	—	Acquired	863217	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2014-06-19	Warrants	$5.00	P	46053	Acquired	2018-06-05	Common Stock (46053)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	60000	Indirect
Common Stock	46868	Direct

Footnotes

F1: The reporting person paid an aggregate purchase price of $1,499,998.50 was paid to purchase the 333,333 shares and 46,053 warrants reported on this Form 4.

F2: Represents 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.

F3: Represents shares required by three trusts of which Mr. DiSanto is trustee and as to which Mr. DiSanto has sole voting and dispositive power.