SEC Form 4 · accession 0001144204-17-055537
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
Oct 30, 2017
Accepted (ET)
Nov 1, 2017 · 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 shareF2 | Oct 30, 2017 | M | 931 | $24.77 | A | 173,617 | D | |
| Common Stock, par value $0.001 per shareF2 | Oct 30, 2017 | S | 931 | $62.50 | D | 172,686 | 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 | $24.77 | Oct 30, 2017 | M | 931 | D | — | Feb 7, 2022 | Common Stock, par value $0.001 per share | 931 | 55,438 | D |
Explanation of responses
- F1On October 30, 2017 the reporting person exercised previously issued options to purchase an aggregate of 931 shares of common stock of ExlService Holdings, Inc.
- F2Owned by Rohit Kapoor.
- 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.
- F5Owned by the Rohit Kapoor 2016 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.
- F9On February 7, 2012, the reporting person was granted 97,500 stock options. 25 percent of these options became vested and exercisable on February 7, 2013, an additional 25 percent became vested and exercisable on February 7, 2014, an additional 25 percent became vested and exercisable on February 7, 2015, and the balance of 25 percent became vested and exercisable on February 7, 2016.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.