SEC Form 4 · accession 0001144204-16-089858
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
Mar 21, 2016
Accepted (ET)
Mar 23, 2016 · 5:00 pm EDT
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 shareF3 | Mar 21, 2016 | M | 3,569 | $11.875 | A | 299,754 | D | |
| Common Stock, par value $0.001 per shareF3 | Mar 21, 2016 | S | 3,569 | $49.50 | D | 296,185 | 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 | Mar 21, 2016 | M | 3,569 | D | — | Jul 26, 2016 | Common Stock, par value $0.001 per share | 3,569 | 0 | D |
Explanation of responses
- F1On March 21, 2016 the reporting person exercised previously issued options to purchase an aggregate of 3,569 shares of common stock of ExlService Holdings, Inc.
- F2This sale was made pursuant to a 10b5-1 plan previously entered into by the reporting person.
- F3Owned by Rohit Kapoor.
- 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.
- F9On July 27, 2006, the reporting person was granted 150,000 stock options, vesting in four equal installments. 37,500 of the stock options became vested and exercisable on November 15, 2006, an additional 37,500 of the stock options became vested and exercisable on November 15, 2007, an additional 37,500 of the stock options became vested and exercisable on November 15, 2008, and the remaining balance i/n/o 37,500 became vested and exercisable on November 15, 2009.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.