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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 02/13/2017 | M | 9,375 | (8) | (8) | Common Stock, par value $0.001 per share | 9,375 | $ 0 | 9,375 | D | ||||
Restricted Stock Units | (1) | 02/13/2017 | M | 1,205 | (9) | (9) | Common Stock, par value $0.001 per share | 1,205 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kapoor Rohit 280 PARK AVENUE NEW YORK, NY 10017 |
X | CEO & Vice Chairman |
/s/ Lazbart Oseni, Attorney-in-Fact | 02/15/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Restricted stock units of ExlService Holdings, Inc. convert into common stock, par value $0.001 per share on a one-for-one basis. |
(2) | Owned by Rohit Kapoor. |
(3) | Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2013 GRAT. |
(4) | Owned by the Rohit Kapoor 2012 Family Trust. |
(5) | Owned by the 2016 Kapoor Family Trust Created Under the Rohit Kapoor 2005 GRAT. |
(6) | Owned by the Rohit Kapoor Spousal Lifetime Access Trust. |
(7) | Owned by the Shikha Kapoor 2005 Family Trust. |
(8) | On 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. |
(9) | On 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. |