EXELA TECHNOLOGIES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-24: Reporting owner hof 2 llc | CHADHA PAR | HandsOn 3, LLC | HOV Capital III LLC | HandsOn Fund 4 I, LLC | HOVS LLC | Adesi 234 LLC | HOV Services Ltd | HandsOn Global Management, LLC; Form 4; Security Exchangeable Preferred Interests; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2019-10-30: Reporting owner Yannamani Suresh; Form 4; Security Exchangeable Preferred Interests; Transaction J Other acquisition or disposition (describe transaction).
- 2019-10-22: Reporting owner Cogburn Ronald Clark; Form 4; Security Exchangeable Preferred Interests; Transaction J Other acquisition or disposition (describe transaction).
- 2019-10-22: Reporting owner Murali Srinivasan; Form 4; Security Exchangeable Preferred Interests; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-12-24 | hof 2 llc | CHADHA PAR | HandsOn 3, LLC | HOV Capital III LLC | HandsOn Fund 4 I, LLC | HOVS LLC | Adesi 234 LLC | HOV Services Ltd | HandsOn Global Management, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Exchangeable Preferred Interests Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +18,470 20,470 owned after | $1,000.00 | 2020-02-27 | |
| 2019-10-30 | Yannamani Suresh Officer (President) | 4 | Exchangeable Preferred Interests Derivative · Direct | J Other acquisition or disposition (describe transaction) | +225 225 owned after | $1.21 exercise price | 2020-02-27 | |
| 2019-10-22 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | Exchangeable Preferred Interests Derivative · Direct | J Other acquisition or disposition (describe transaction) | +356 356 owned after | $1.21 exercise price | 2020-02-27 | |
| 2019-10-22 | Murali Srinivasan Officer (President, Americas and APAC) | 4 | Exchangeable Preferred Interests Derivative · Direct | J Other acquisition or disposition (describe transaction) | +102 102 owned after | $1.21 exercise price | 2020-02-27 | |
| 2019-10-15 | Fairchild Mark D. Officer (Pres., Exela Enterprise Sol.) | 4 | Exchangeable Preferred Interests Derivative · Direct | J Other acquisition or disposition (describe transaction) | +40 40 owned after | $1.21 exercise price | 2020-02-27 | |
| 2019-10-15 | Sortur Shrikant Officer (Executive VP, Global Finance) | 4 | Exchangeable Preferred Interests Derivative · Direct | J Other acquisition or disposition (describe transaction) | +20 20 owned after | $1.21 exercise price | 2020-02-27 | |
| 2019-07-03 | hof 2 llc | CHADHA PAR | HandsOn 3, LLC | HOV Capital III LLC | HandsOn Fund 4 I, LLC | HOVS LLC | Adesi 234 LLC | HOV Services Ltd | HandsOn Global Management, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Exchangeable Preferred Interests Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +2,000 2,000 owned after | $1,000.00 | 2020-02-27 | |
| 2019-06-27 holding as of filing | HOV Capital III LLC | hof 2 llc | HandsOn Fund 4 I, LLC | HandsOn 3, LLC | Adesi 234 LLC | HOVS LLC | CHADHA PAR | HOV Services Ltd | HandsOn Global Management, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 2,669,233 owned after | no price filed | 2019-06-27 | |
| 2019-06-27 holding as of filing | Ex-Sigma LLC | Ex-Sigma 2 LLC Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | 2,669,233 owned after | no price filed | 2019-06-27 | |
| 2019-06-27 holding as of filing | Ex-Sigma LLC | Ex-Sigma 2 LLC Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | 2,669,233 owned after | no price filed | 2019-06-27 | |
| 2019-06-25 | Reynolds James Director, Officer (Chief FInancial Officer) | 4/A | Exchangeable Preferred Interests Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +475 475 owned after | $1.65 | 2020-02-27 | |
| 2019-06-25 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | Exchangeable Preferred Interests Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +26 15,988 owned after | $1.65 | 2019-06-27 | |
| 2019-06-25 | Reynolds James Director, Officer (Chief Financial Officer) | 4 | Exchangeable Preferred Interests Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +448 287,786 owned after | $1.65 | 2019-06-27 | |
| 2019-06-25 | HOV Capital III LLC | hof 2 llc | HandsOn Fund 4 I, LLC | HandsOn 3, LLC | Adesi 234 LLC | HOVS LLC | CHADHA PAR | HOV Services Ltd | HandsOn Global Management, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Exchangeable Preferred Interests Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +317 191,857 owned after | $1.65 | 2019-06-27 | |
| 2019-06-25 | HOV Capital III LLC | hof 2 llc | HandsOn Fund 4 I, LLC | HandsOn 3, LLC | Adesi 234 LLC | HOVS LLC | CHADHA PAR | HOV Services Ltd | HandsOn Global Management, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Exchangeable Preferred Interests Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +396 239,822 owned after | $1.65 | 2019-06-27 | |
| 2019-06-25 | HOV Capital III LLC | hof 2 llc | HandsOn Fund 4 I, LLC | HandsOn 3, LLC | Adesi 234 LLC | HOVS LLC | CHADHA PAR | HOV Services Ltd | HandsOn Global Management, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Exchangeable Preferred Interests Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +448 271,798 owned after | $1.65 | 2019-06-27 | |
| 2019-06-04 holding as of filing | CHADHA PAR Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | 2,669,233 owned after | no price filed | 2019-06-04 |