SEC Form 4 · accession 0001144204-17-007460
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 8, 2017
Accepted (ET)
Feb 10, 2017 · 5:01 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 | Feb 8, 2017 | M | 18,750 | — | A | 344,806 | 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 8, 2017 | M | 18,750 | D | — | — | Common Stock, par value $0.001 per share | 18,750 | 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.
- F2Owned by Rohit Kapoor.
- F3Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2013 GRAT.
- F4Owned by the Rohit Kapoor 2012 Family Trust.
- F5Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2005 GRAT.
- F6Owned by the Rohit Kapoor Spousal Lifetime Access Trust.
- F7Owned by the Shikha Kapoor 2005 Family Trust.
- F8On 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 of 18,750 restricted stock units became vested on February 8, 2017.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.