Statement of Changes in Beneficial Ownership (4)
February 25 2021 - 5:49PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
AYYAPPAN AJAY |
2. Issuer Name and Ticker or Trading Symbol
ExlService Holdings, Inc.
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EXLS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP & Gen Counsel/Corp Sect'y |
(Last)
(First)
(Middle)
320 PARK AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/23/2021 |
(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.001 per share | 2/23/2021 | | S(1) | | 308 | D | $79.33 | 901 | D | |
Common Stock, par value $0.001 per share | 2/23/2021 | | M | | 810 | A | (2) | 1711 | D | |
Common Stock, par value $0.001 per share | 2/23/2021 | | F | | 391 | D | $80.46 (3) | 1320 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | 2/23/2021 | | M | | | 810 | (4) | (4) | Common Stock, par value $0.001 per share | 810 | $0 | 0 | D | |
Explanation of Responses: |
(1) | This sale was made pursuant to a 10b5-1 plan previously entered into by the reporting person |
(2) | Restricted stock units of ExlService Holdings, Inc. (the "Company") convert into common stock, par value $0.001 per share (the "Common Stock") on a one-for-one basis |
(3) | The reporting person's restricted stock units reported in this report vested on February 23, 2021. Pursuant to the ExlService Holdings, Inc. 2016 Omnibus Incentive Plan, pursuant to which such restricted stock units were granted, the closing price of the Common Stock on the Nasdaq Global Select Market on the preceding day is used for purposes of computing tax reporting and withholding. |
(4) | On February 23, 2017, the reporting person was granted 3,240 restricted stock units, 25 percent of the restricted stock units became vested on February 23, 2018, an additional 25 percent of the restricted stock units became vested on February 23, 2019, an additional 25 percent of the restricted stock units became vested February 23, 2020, and the remaining balance of 25 percent of the restricted stock units became vested on February 23, 2021. |
Remarks: Mr. Oseni is the Company's Head of Administration and Accounts |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
AYYAPPAN AJAY 320 PARK AVENUE NEW YORK, NY 10022 |
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| SVP & Gen Counsel/Corp Sect'y |
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Signatures
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/s/ Lazbart Oseni, Attorney-in-Fact | | 2/25/2021 |
**Signature of Reporting Person | Date |
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