EXELA TECHNOLOGIES, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-05-17: Reporting owner Reynolds James; Form 4; Security 6.00% Series B Cumulative Convertible Perpetual Pref. Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-05-17: Reporting owner Cogburn Ronald Clark; Form 4; Security 6.00% Series B Cumulative Convertible Perpetual Pref. Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-05-17: Reporting owner Yannamani Suresh; Form 4; Security 6.00% Series B Cumulative Convertible Pref. Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-05-17: Reporting owner Fairchild Mark D.; Form 4; Security 6.00% Series B Cumulative Convertible Perpetual Pref. Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-05-17 | Reynolds James Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 37,500 owned after | $1.25 exercise price | 2022-05-19 | |
| 2022-05-17 | Cogburn Ronald Clark Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,141 3,847 owned after | $1.25 exercise price | 2022-05-19 | |
| 2022-05-17 | Yannamani Suresh Officer (President) | 4 | 6.00% Series B Cumulative Convertible Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,784 9,784 owned after | $1.25 exercise price | 2022-05-19 | |
| 2022-05-17 | Fairchild Mark D. Officer (Pres., Exela Smart Office) | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +395 1,200 owned after | $1.25 exercise price | 2022-05-19 | |
| 2022-05-17 | REXFORD JOHN H Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,984 3,234 owned after | $1.25 exercise price | 2022-05-19 | |
| 2022-03-11 | TRANSIER WILLIAM L Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $1.25 exercise price | 2022-03-17 | |
| 2022-03-11 | REXFORD JOHN H Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 1,250 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | Sortur Shrikant Officer (Chief Financial Officer) | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,366 1,366 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | Reynolds James Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | Clark Coley Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,131 1,131 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | BEILINSON MARC A Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,425 1,425 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | HOV Services Ltd | CHADHA PAR | HOV Capital III LLC | Chadha Sharon | HandsOn Fund 4 I, LLC | HOVS LLC | Adesi 234 LLC | HandsOn Global Management, LLC | HandsOn 3, LLC | hof 2 llc 10% Owner | Director, Officer (Executive Chairman), 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,031 48,031 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | HOV Services Ltd | CHADHA PAR | HOV Capital III LLC | Chadha Sharon | HandsOn Fund 4 I, LLC | HOVS LLC | Adesi 234 LLC | HandsOn Global Management, LLC | HandsOn 3, LLC | hof 2 llc 10% Owner | Director, Officer (Executive Chairman), 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,377 28,377 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | Murali Srinivasan Officer (President, Americas and APAC) | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,681 1,681 owned after | $1.25 exercise price | 2022-03-16 | |
| 2022-03-11 | Fairchild Mark D. Officer (Pres., Exela Smart Office) | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +805 805 owned after | $1.25 exercise price | 2022-03-15 | |
| 2022-03-11 | Akins Martin P. Director | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,270 1,270 owned after | $1.25 exercise price | 2022-03-15 | |
| 2022-03-11 | Robu Vitalie Officer (President, EMEA) | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,654 1,654 owned after | $1.25 exercise price | 2022-03-15 | |
| 2022-03-11 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | 6.00% Series B Cumulative Convertible Perpetual Pref. Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,706 1,706 owned after | $1.25 exercise price | 2022-03-15 |