Attached files

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EX-99.1 - EXHIBIT 99.1 - XCel Brands, Inc.v371094_ex99-1.htm
EX-99.2 - EXHIBIT 99.2 - XCel Brands, Inc.v371094_ex99-2.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

FORM 8-K

 

CURRENT REPORT PURSUANT

TO SECTION 13 OR 15(D) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

Date of report (Date of earliest event reported):         March 10, 2014

 

XCEL BRANDS, INC.

(Exact Name of Registrant as Specified in Its Charter)

 

Delaware

(State or Other Jurisdiction of Incorporation)

000-31553   76-0307819
(Commission File Number)   (IRS Employer Identification No.)
     
475 10th Avenue, 4th Floor, New York, NY   10018
(Address of Principal Executive Offices)   (Zip Code)

 

(347) 727-2474

(Registrant’s Telephone Number, Including Area Code)

 

 

 

 

 

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 
 
 

 

Item 7.01   Regulation FD Disclosure.s

 

On March 10, 2014, Xcel Brands, Inc. (the “Company”) is making an investor presentation at the 26th Annual Roth Conference. A copy of the investor presentation is furnished herewith as Exhibit 99.1.

 

The information furnished pursuant to Item 7.01, including Exhibit 99.1, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities under that Section, and shall not be deemed to be incorporated by reference into any filing of the Company under the Securities Act of 1933 or the Exchange Act.

 

The furnishing of the information under Item 7.01 in this Current Report on Form 8-K is not intended to, and does not, constitute a determination or admission by the Company (i) that the furnishing of the information in this Item 7.01 is required by Regulation FD, (ii) that the information under Item 7.01 in this Current Report on Form 8-K is material or complete, or (iii) that investors should consider this information before making an investment decision with respect to any security of the Company.

 

This Form 8-K contains “forward-looking statements” within the meaning of the safe harbor provisions of the federal securities laws. It should be read in conjunction with the ‘Safe Harbor” statement contained in the presentation material and the risk factors included in the Company’s periodic reports filed with the Securities and Exchange Commission that discuss important factors that could cause the Company’s results to differ materially from those anticipated in such forward-looking statements.

 

Item 9.01 Financial Statement and Exhibits.

 

(d)   Exhibits.
     
99.1   Xcel Brands, Inc. Investor Presentation
99.2   Reconciliation of Non-GAAP financial measures included in the Xcel Brands, Inc. Investor Presentation.

 

 
 
 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned thereunto duly authorized.

 

  XCEL BRANDS, INC.
  (Registrant)
   
  By: /s/ James F. Haran
    Name: James F. Haran
    Title: Chief Financial Officer

 

Date: March 10, 2014