SEC Form 4 · accession 0001144204-17-009399
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 13, 2017
Accepted (ET)
Feb 15, 2017 · 5:02 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 13, 2017 | M | 9,375 | — | A | 354,181 | D | |
| Common Stock, par value $0.001 per shareF1,F2 | Feb 13, 2017 | M | 1,205 | — | A | 355,386 | D | |
| Common Stock, par value $0.001 per shareF3 | holding | — | — | — | 40,219 | I | See Foonote | |
| Common Stock, par value $0.001 per shareF4 | holding | — | — | — | 333,185 | I | See Foonote | |
| Common Stock, par value $0.001 per shareF5 | holding | — | — | — | 177,134 | I | See Foonote | |
| Common Stock, par value $0.001 per shareF6 | holding | — | — | — | 84,000 | I | See Foonote | |
| Common Stock, par value $0.001 per shareF7 | holding | — | — | — | 84,000 | I | See Foonote |
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 13, 2017 | M | 9,375 | D | — | — | Common Stock, par value $0.001 per share | 9,375 | 9,375 | D |
| Restricted Stock UnitsF1,F9 | — | Feb 13, 2017 | M | 1,205 | D | — | — | Common Stock, par value $0.001 per share | 1,205 | 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 13, 2014, 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 13, 2015, an additional 9,375 restricted stock units became vested on February 13, 2016, an additional 9,375 restricted stock units became vested on February 13, 2017, and the remaining balance of 9,375 restricted stock units will vest on February 13, 2018.
- F9On February 13, 2013, the reporting person was granted 3,612 restricted stock units, vesting in three annual installments beginning on the first anniversary of the grant date. 1,203 restricted stock units became vested on February 13, 2015, an additional 1,204 restricted stock units became vested on February 13, 2016, and the remaining balance of 1,205 restricted stock units became vested on February 13, 2017.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.