SEC Form 4 · accession 0001144204-16-124604
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
Sep 16, 2016
Accepted (ET)
Sep 20, 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 shareF1 | May 5, 2016 | G | 300 | $0.00 | D | 295,885 | D | |
| Common Stock, par value $0.001 per shareF1 | Jun 7, 2016 | G | 200 | $0.00 | D | 295,685 | D | |
| Common Stock, par value $0.001 per shareF1 | Sep 16, 2016 | M | 50,000 | $16.96 | A | 345,685 | D | |
| Common Stock, par value $0.001 per shareF1 | Sep 16, 2016 | S | 50,000 | $48.91 | D | 295,685 | 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 | $16.96 | Sep 16, 2016 | M | 50,000 | D | — | Jan 23, 2018 | Common Stock, par value $0.001 per share | 50,000 | 1,000,000 | D |
Explanation of responses
- F1Owned by Rohit Kapoor.
- F2On September 16, 2016 the reporting person exercised previously issued options to purchase an aggregate of 50,000 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 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2013 GRAT. On May 25, 2016, the Rohit Kapoor 2013 Grantor Retained Annuity Trust transferred all of its assets to the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2013 GRAT and was subsequently terminated.
- F5Owned by the Rohit Kapoor 2012 Family Trust.
- F6Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2005 GRAT. On May 25, 2016, the Rohit Kapoor 2005 Grantor Retained Annuity Trust transferred all of its assets to the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2005 GRAT and was subsequently terminated.
- 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.