SEC Form 4 · accession 0001144204-16-079334
ExlService Holdings, Inc. · EXLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rohit Kapoor
Officer — CEO & Vice Chairman · Director
Period of report
Feb 3, 2016
Accepted (ET)
Feb 5, 2016 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001297989
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1 | Feb 3, 2016 | M | 49,500 | $11.875 | A | 296,932 | D | |
| Common Stock, par value $0.001 per shareF1 | Feb 3, 2016 | S | 49,500 | $44.90 | D | 247,432 | D | |
| Common Stock, par value $0.001 per shareF4 | holding | — | — | — | 40,219 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF5 | holding | — | — | — | 333,185 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF6 | holding | — | — | — | 177,134 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF7 | holding | — | — | — | 84,000 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF8 | holding | — | — | — | 84,000 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy)F9 | $11.875 | Feb 3, 2016 | M | 49,500 | D | — | Jul 26, 2016 | Common Stock, par value $0.001 per share | 49,500 | 100,000 | D |
Explanation of responses
- F1Owned by Rohit Kapoor.
- F2On February 3, 2016 the reporting person exercised previously issued options to purchase an aggregate of 49,500 shares of common stock of ExlService Holdings, Inc.
- F3This sale was made pursuant to a 10b5-1 plan previously entered into by the reporting person.
- F4Owned by the Rohit Kapoor 2013 Grantor Retained Annuity Trust.
- F5Owned by the Rohit Kapoor 2012 Family Trust.
- F6Owned by the Rohit Kapoor 2005 Grantor Retained Annuity Trust.
- F7Owned by the Rohit Kapoor Spousal Lifetime Access Trust.
- F8Owned by the Shikha Kapoor 2005 Family Trust.
- F9100,000 of these options were fully vested and exercisable
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts