SEC Form 4 · accession 0001144204-16-080035
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 7, 2016
Accepted (ET)
Feb 9, 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,F2 | Feb 7, 2016 | M | 9,375 | — | A | 256,807 | D | |
| Common Stock, par value $0.001 per shareF1,F2 | Feb 8, 2016 | M | 18,750 | — | A | 275,557 | D | |
| Common Stock, par value $0.001 per shareF1,F2 | Feb 8, 2016 | M | 674 | — | A | 276,231 | D | |
| Common Stock, par value $0.001 per shareF3 | holding | — | — | — | 40,219 | I | See footnote | |
| Common Stock, par value $0.001 per shareF4 | holding | — | — | — | 333,185 | I | See footnote | |
| Common Stock, par value $0.001 per shareF5 | holding | — | — | — | 177,134 | I | See footnote | |
| Common Stock, par value $0.001 per shareF6 | holding | — | — | — | 84,000 | I | See footnote | |
| Common Stock, par value $0.001 per shareF7 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F8 | — | Feb 7, 2016 | M | 9,375 | D | — | — | Common Stock, par value $0.001 per share | 9,375 | 0 | D |
| Restricted Stock UnitsF1,F9 | — | Feb 8, 2016 | M | 18,750 | D | — | — | Common Stock, par value $0.001 per share | 18,750 | 18,750 | D |
| Restricted Stock UnitsF1,F10 | — | Feb 8, 2016 | M | 674 | D | — | — | Common Stock, par value $0.001 per share | 674 | 0 | D |
Explanation of responses
- F1Restricted stock units of ExlService Holdings, Inc. convert into common stock, par value $0.001 per share on a one-for-one basis.
- F10On February 8, 2013, the reporting person was granted 2,020 restricted stock units, vesting in three annual installments beginning on the first anniversary of the grant date. 673 restricted stock units became vested on February 8, 2014, an additional 673 restricted stock units became vested on February 8, 2015, and the remaining balance i/n/o 674 restricted stock units became vested on February 8, 2016.
- F2Owned by Rohit Kapoor.
- F3Owned by the Rohit Kapoor 2013 Grantor Retained Annuity Trust.
- F4Owned by the Rohit Kapoor 2012 Family Trust.
- F5Owned by the Rohit Kapoor 2005 Grantor Retained Annuity Trust.
- F6Owned by the Rohit Kapoor Spousal Lifetime Access Trust.
- F7Owned by the Shikha Kapoor 2005 Family Trust.
- F8On February 7, 2012, the reporting person was granted 37,500 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date. 9,375 restricted stock units became vested on February 7, 2013, an additional 9,375 restricted stock units became vested on February 7, 2014, an additional 9,375 restricted stock units became vested on February 7, 2015, and the remaining balance i/n/o 9,375 restricted stock units became vested on February 7, 2016.
- F9On February 8, 2013, the reporting person was granted 75,000 restricted stock units, vesting in four equal annual installment beginning on the first anniversary of the grant date. 18,750 restricted stock units became vested on February 8, 2014, an additional 18,750 restricted stock units became vested on February 8, 2015, an additional 18,750 restricted stock units became vested on February 8, 2016, and the remaining balance i/n/o 18,750 restricted stock units will vest on February 8, 2017.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.