Initial Statement of Beneficial Ownership (3)
March 12 2020 - 4:07PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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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
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Stein Kathryn Vanpelt |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/2/2020
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3. Issuer Name and Ticker or Trading Symbol
Genpact LTD [G]
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(Last)
(First)
(Middle)
C/O GENPACT LLC, 1155 AVENUE OF THE AMERICAS, 4TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Senior Vice President / |
(Street)
NEW YORK, NY 10036
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares | 81735 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | 1/10/2020 (2) | 3/29/2027 | Common Shares | 60000 | $24.74 | D | |
Employee Stock Option (Right to Buy) | 4/2/2021 (3) | 4/1/2028 | Common Shares | 50000 | $31.50 | D | |
Employee Stock Option (Right to Buy) | 1/10/2022 (4) | 1/9/2029 | Common Shares | 168101 | $27.70 | D | |
Employee Stock Option (Right to Buy) | 2/19/2023 (5) | 2/18/2030 | Common Shares | 107981 | $43.94 | D | |
Explanation of Responses: |
(1) | Includes (i) 2,500 shares underlying restricted stock units granted under the Genpact Limited 2007 Omnibus Incentive Compensation Plan which will vest on January 10, 2021, subject to the reporting person's continued service through the vesting date, (ii) 32,193 shares underlying performance share units (PSUs) granted on April 2, 2018 and (iii) 45,874 shares underlying PSUs granted on February 13, 2019. Each PSU was subject to performance conditions which have been satisfied and represents the contingent right to receive one common share. The 2018 PSU grant will vest on January 10, 2021 and the 2019 PSU grant will vest on January 10, 2022, subject to the reporting person's continued service through each vesting date. The reporting person currently holds a total of 1,168 shares under the Genpact Employee Stock Purchase Plan. |
(2) | The option vested 50% on January 10, 2020. The remaining 50% vests on January 10, 2022. |
(3) | The option vests 50% on April 2, 2021 and 50% on April 2, 2023. |
(4) | The option vests 50% on January 10, 2022 and 50% on January 10, 2024. |
(5) | The option vests 50% on February 19, 2023 and 50% on February 19, 2025. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stein Kathryn Vanpelt C/O GENPACT LLC 1155 AVENUE OF THE AMERICAS, 4TH FLOOR NEW YORK, NY 10036 |
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| Senior Vice President |
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Signatures
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/s/ Thomas D. Scholtes, as Attorney-in-fact for Kathryn Vanpelt Stein | | 3/12/2020 |
**Signature of Reporting Person | Date |
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