SEC Form 4 · accession 0001144204-16-085351
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 26, 2016
Accepted (ET)
Mar 1, 2016 · 5:03 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 26, 2016 | M | 9,375 | — | A | 296,185 | 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 26, 2016 | M | 9,375 | D | — | — | Common Stock, par value $0.001 per share | 9,375 | 28,125 | 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.
- 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 26, 2015, 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 26, 2016, an additional 9,375 restricted stock units will vest on February 26, 2017, an additional 9,375 restricted stock units will vest on February 26, 2018, and the remaining balance i/n/o 9,375 restricted stock units will vest on February 26, 2019.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.