SEC Form 4 · accession 0001144204-18-005259
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, 2018
Accepted (ET)
Feb 1, 2018 · 7:29 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,F3 | Jan 30, 2018 | A | 53,044 | — | A | 222,730 | D | |
| Common Stock, par value $0.001 per shareF4,F3 | Jan 30, 2018 | A | 200,000 | — | A | 422,730 | D | |
| Common Stock, par value $0.001 per shareF5 | holding | — | — | — | 40,219 | I | See footnote | |
| Common Stock, par value $0.001 per shareF6 | holding | — | — | — | 333,185 | I | See footnote | |
| Common Stock, par value $0.001 per shareF7 | holding | — | — | — | 177,134 | I | See footnote | |
| Common Stock, par value $0.001 per shareF8 | holding | — | — | — | 84,000 | I | See footnote | |
| Common Stock, par value $0.001 per shareF9 | 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 26, 2015 and voluntarily reported in a Form 4 filed on March 12, 2015. Such shares of Common Stock were deemed earned on January 30, 2018 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, 2017.
- F2Reflects an additional 8,000 shares, which the reporting person inadvertently reported as having been disposed of in a gift transaction that was voluntarily reported on the reporting person's Form 4 filed November 17, 2018 but that was never completed.
- F3Owned by Rohit Kapoor.
- F4The reporting person's shares of Common Stock reported in this report were earned pursuant to the PRSU's of the Company granted on April 29, 2015 and voluntarily reported in a Form 4 filed on May 1, 2015. Such shares of Common Stock were deemed earned on January 30, 2018 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, 2017.
- F5Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2013 GRAT.
- F6Owned by the Rohit Kapoor 2012 Family Trust.
- F7Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2005 GRAT.
- F8Owned by the Rohit Kapoor Spousal Lifetime Access Trust.
- F9Owned by the Shikha Kapoor 2005 Family Trust.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.