SEC Form 4 · accession 0001144204-19-011308
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 26, 2019
Accepted (ET)
Feb 28, 2019 · 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 | Feb 26, 2019 | A | 9,375 | — | A | 267,667 | D | |
| Common Stock, par value $0.001 per shareF2 | holding | — | — | — | 40,219 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF3 | holding | — | — | — | 333,185 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF4 | holding | — | — | — | 177,134 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF5 | holding | — | — | — | 84,000 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF6 | 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,F7 | — | Feb 26, 2019 | M | 9,375 | D | — | — | Common Stock, par value $0.001 per share | 9,375 | 0 | D |
Explanation of responses
- F1estricted stock units of ExlService Holdings, Inc. convert into common stock, par value $0.001 per share on a one-for-one basis.
- F2Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2013 GRAT.
- F3Owned by the Rohit Kapoor 2012 Family Trust.
- F4Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2005 GRAT.
- F5Owned by the Rohit Kapoor Spousal Lifetime Access Trust.
- F6Owned by the Shikha Kapoor 2005 Family Trust.
- F7On February 26, 2015, 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. Twenty-five percent of the restricted stock units became vested on February 26, 2016, an additional twenty-five percent of the restricted stock units became vested on February 26, 2017, an additional twenty-five percent of the restricted stock units became vested on February 26, 2018, and the remaining balance of twenty-five percent of the restricted stock units became vested on February 26, 2019.
Remarks
Mr. Oseni is the Company's Head of Administration and Accounts.