SEC Form 4 · accession 0001144204-17-005457
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
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 8:01 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 | Jan 30, 2017 | A | 56,379 | — | A | 352,064 | D | |
| Common Stock, par value $0.001 per shareF3,F2 | Jan 30, 2017 | F | 26,008 | $46.45 | D | 326,056 | 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
No Table II lines on this filing.
Explanation of responses
- F1The reporting person's shares of common stock, par value $0.001 per share (the "Common Stock") reported in this report were earned pursuant to the performance restricted stock units ("PRSUs") of ExlService Holdings, Inc. (the "Company") granted on February 13, 2014 and voluntarily reported in a Form 4 filed on February 18, 2014.
- F2Owned by Rohit Kapoor.
- F3The reporting person's shares of Common Stock reported in this report were deemed earned on January 30, 2017 based on the Compensation Committee of the Board of Directors administering the award certifying the achievement of performance targets applicable to the PRSUs for the performance period ending on December 31, 2016. Pursuant to the agreement governing the grant of the PRSUs and pursuant to the Company's 2006 Omnibus Award Plan, pursuant to which such PRSUs were granted, the closing price of the Common Stock on the Nasdaq Global Select Market on the preceding day, January 27, 2017 in this case, is used for purposes of computing tax reporting and withholding.
- F4Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2013 GRAT.
- F5Owned by the Rohit Kapoor 2012 Family Trust.
- F6Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2005 GRAT.
- F7Owned by the Rohit Kapoor Spousal Lifetime Access Trust.
- F8Owned by the Shikha Kapoor 2005 Family Trust.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.