EXELA TECHNOLOGIES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 44 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-31: Reporting owner HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR; Form 4; Security Exchangeable Preferred Interests; Transaction Holding.
- 2020-12-31: Reporting owner HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR; Form 4; Security Exchangeable Preferred Interests; Transaction Holding.
- 2020-12-31: Reporting owner HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR; Form 4; Security Exchangeable Preferred Interests; Transaction Holding.
- 2020-12-31: Reporting owner HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR; Form 4; Security Exchangeable Preferred Interests; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 · (m) | Holding | 7,586 owned after | no price filed | 2020-12-31 | |
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 · (m) | Holding | 147 owned after | no price filed | 2020-12-31 | |
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 · (m) | Holding | 117 owned after | no price filed | 2020-12-31 | |
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 · (m) | Holding | 166 owned after | no price filed | 2020-12-31 | |
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 | 19,362 owned after | $0.91 exercise price | 2020-12-31 | |
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 | 54,886 owned after | $0.91 exercise price | 2020-12-31 | |
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 | 1,226,051 owned after | $0.91 exercise price | 2020-12-31 | |
| 2020-12-31 holding as of filing | HOVS LLC | hof 2 llc | HandsOn Global Management, LLC | HOV Services Ltd | HOV Capital III LLC | HandsOn 3, LLC | Adesi 234 LLC | HandsOn Fund 4 I, LLC | CHADHA PAR 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 | 112,597 owned after | $0.91 exercise price | 2020-12-31 | |
| 2020-03-02 holding as of filing | CONSTANTINO MATTHEW | Delos Investment Fund, LP | Delos Capital Management, LP 10% Owner | 10% Owner | 10% Owner | 3 | Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2020-03-02 | ||
| 2020-02-26 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +6,835 10,494 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-26 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −1,493,638 19,362 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-26 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +1,164,872 1,226,052 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-26 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +69,714 112,597 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-26 | Murali Srinivasan Officer (President, Americas and APAC) | 4 | Series A Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +673 2,637 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-26 | Reynolds James Director, Officer (Chief Financial Officer) | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | +49,420 114,770 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-26 | Yannamani Suresh Officer (President) | 4 | Series A Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +13,506 17,836 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | Series A Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,709 1,709 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +1,950 3,659 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | Exchangeable Preferred Interests Derivative · Direct | C Conversion of derivative security | −17 10 owned after | $0.31 exercise price | 2020-02-27 | |
| 2020-02-21 | Cogburn Ronald Clark Director, Officer (Chief Executive Officer) | 4 | Exchangeable Preferred Interests Derivative · Direct | C Conversion of derivative security | −224 132 owned after | $1.21 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | C Conversion of derivative security | −249 147 owned after | $0.31 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | C Conversion of derivative security | −199 117 owned after | $0.31 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | C Conversion of derivative security | −282 166 owned after | $0.31 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | C Conversion of derivative security | −12,884 7,586 owned after | $0.31 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −273,475 2,395,758 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,395,758 0 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +25,638 25,638 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +28,031 28,031 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +19,485 19,485 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | +29,248 54,886 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | +33,149 61,180 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | +23,398 42,883 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | 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 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | +1,513,000 1,513,000 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Murali Srinivasan Officer (President, Americas and APAC) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +1,964 1,964 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Murali Srinivasan Officer (President, Americas and APAC) | 4 | Exchangeable Preferred Interests Derivative · Direct | C Conversion of derivative security | −64 38 owned after | $1.21 exercise price | 2020-02-27 | |
| 2020-02-21 | Reynolds James Director, Officer (Chief Financial Officer) | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +30,253 30,253 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Reynolds James Director, Officer (Chief Financial Officer) | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | +35,097 65,350 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Reynolds James Director, Officer (Chief Financial Officer) | 4 | Exchangeable Preferred Interests Derivative · Indirect · See Footnote | C Conversion of derivative security | −299 176 owned after | $0.31 exercise price | 2020-02-27 | |
| 2020-02-21 | Fairchild Mark D. Officer (Pres., Exela Enterprise Sol.) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +768 768 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Fairchild Mark D. Officer (Pres., Exela Enterprise Sol.) | 4 | Exchangeable Preferred Interests Derivative · Direct | C Conversion of derivative security | −25 13 owned after | $1.21 exercise price | 2020-02-27 | |
| 2020-02-21 | Sortur Shrikant Officer (Executive VP, Global Finance) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +393 393 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Sortur Shrikant Officer (Executive VP, Global Finance) | 4 | Exchangeable Preferred Interests Derivative · Direct | C Conversion of derivative security | −13 8 owned after | $1.21 exercise price | 2020-02-27 | |
| 2020-02-21 | Yannamani Suresh Officer (President) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +4,330 4,330 owned after | $1.22 exercise price | 2020-02-27 | |
| 2020-02-21 | Yannamani Suresh Officer (President) | 4 | Exchangeable Preferred Interests Derivative · Direct | C Conversion of derivative security | −142 83 owned after | $1.21 exercise price | 2020-02-27 |