EXELA TECHNOLOGIES, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 36 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-08-18: Reporting owner CHADHA PAR | Chadha Sharon; Form 4; Security Restricted Stock Units; Transaction Holding.
- 2022-08-16: Reporting owner CHADHA PAR | Chadha Sharon; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-08-16: Reporting owner CHADHA PAR | Chadha Sharon; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-08-16: Reporting owner Director; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-08-18 holding as of filing | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Indirect · See Footnote | Holding | 1,515 owned after | no price filed | 2022-08-18 | |
| 2022-08-16 | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,387 0 owned after | $0.00 | 2022-08-18 | |
| 2022-08-16 | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,954 0 owned after | $0.00 | 2022-08-18 | |
| 2022-08-16 | Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 0 owned after | $0.00 | 2022-08-18 | |
| 2022-08-16 | BEILINSON MARC A Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 0 owned after | $0.00 | 2022-08-18 | |
| 2022-08-16 | Clark Coley Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 0 owned after | $0.00 | 2022-08-18 | |
| 2022-08-15 holding as of filing | Chadha Sharon | CHADHA PAR Director | Director, Officer (Executive Chairman) | 4/A | Restricted Stock Units Derivative · Indirect · (m) | Holding | 1,387 owned after | no price filed | 2022-08-15 | |
| 2022-08-15 holding as of filing | Chadha Sharon | CHADHA PAR Director | Director, Officer (Executive Chairman) | 4/A | Restricted Stock Units Derivative · Direct · (m) | Holding | 7,954 owned after | no price filed | 2022-08-15 | |
| 2022-08-15 holding as of filing | Chadha Sharon | CHADHA PAR Director | Director, Officer (Executive Chairman) | 4/A | Restricted Stock Units Derivative · Indirect · (m) | Holding | 1,515 owned after | no price filed | 2022-08-15 | |
| 2022-07-21 holding as of filing | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Indirect · (m) | Holding | 27,740 owned after | no price filed | 2022-07-21 | |
| 2022-07-21 holding as of filing | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 159,091 owned after | no price filed | 2022-07-21 | |
| 2022-07-21 holding as of filing | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Indirect · (m) | Holding | 30,303 owned after | no price filed | 2022-07-21 | |
| 2022-06-29 holding as of filing | Akins Martin P. Director | 4 | Restricted Stock Units Derivative · Direct | Holding | 125,000 owned after | no price filed | 2022-06-29 | |
| 2022-06-29 holding as of filing | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Indirect · (m) | Holding | 27,740 owned after | no price filed | 2022-06-29 | |
| 2022-06-29 holding as of filing | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Direct · (m) | Holding | 159,091 owned after | no price filed | 2022-06-29 | |
| 2022-06-27 | Akins Martin P. Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,228 0 owned after | no price filed | 2022-06-29 | |
| 2022-06-27 | CHADHA PAR | Chadha Sharon Director, Officer (Executive Chairman) | Director | 4 | Restricted Stock Units Derivative · Indirect · See Footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,303 30,303 owned after | no price filed | 2022-06-29 | |
| 2022-06-02 holding as of filing | Akins Martin P. Director | 4 | Restricted Stock Units Derivative · Direct | Holding | 13,228 owned after | no price filed | 2022-06-02 | |
| 2022-06-02 holding as of filing | Chadha Sharon | CHADHA PAR Director | Director, Officer (Executive Chairman) | 4 | Restricted Stock Units Derivative · Indirect · See Footnote | Holding | 60,606 owned after | no price filed | 2022-06-02 | |
| 2022-05-31 | Akins Martin P. Director | 4 | Restricted Stock Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +125,000 125,000 owned after | no price filed | 2022-06-02 | |
| 2022-05-31 | Chadha Sharon | CHADHA PAR Director | Director, Officer (Executive Chairman) | 4 | Restricted Stock Units Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +27,740 27,740 owned after | no price filed | 2022-06-02 | |
| 2022-05-31 | Chadha Sharon | CHADHA PAR Director | Director, Officer (Executive Chairman) | 4 | Restricted Stock Units Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +159,091 159,091 owned after | no price filed | 2022-06-02 | |
| 2022-05-31 | BEILINSON MARC A Director | 4 | Restricted Stock Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +125,000 125,000 owned after | no price filed | 2022-06-02 | |
| 2022-05-31 | REXFORD JOHN H Director | 4 | Restricted Stock Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +125,000 125,000 owned after | no price filed | 2022-06-02 | |
| 2022-05-31 | Clark Coley Director | 4 | Restricted Stock Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +125,000 125,000 owned after | no price filed | 2022-06-02 | |
| 2022-02-19 | Yannamani Suresh Officer (President) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $0.00 | 2022-03-08 | |
| 2022-02-19 | Sortur Shrikant Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $0.00 | 2022-03-08 | |
| 2022-02-19 | Murali Srinivasan Officer (President, Americas and APAC) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,667 0 owned after | $0.00 | 2022-03-08 | |
| 2022-02-19 | Fairchild Mark D. Officer (Pres., Exela Smart Office) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,667 0 owned after | $0.00 | 2022-03-08 | |
| 2022-01-03 | Adesi 234 LLC | HandsOn 3, LLC | HOV Capital III LLC | HOV Services Ltd | HandsOn Fund 4 I, LLC | HOVS LLC | HandsOn Global Management, LLC | CHADHA PAR | Chadha Sharon | hof 2 llc 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, Officer (Executive Chairman), 10% Owner | Director, 10% Owner | 10% Owner | 4 | Restricted Stock Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,740 0 owned after | $0.00 | 2022-01-04 | |
| 2022-01-03 | Adesi 234 LLC | HandsOn 3, LLC | HOV Capital III LLC | HOV Services Ltd | HandsOn Fund 4 I, LLC | HOVS LLC | HandsOn Global Management, LLC | CHADHA PAR | Chadha Sharon | hof 2 llc 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, Officer (Executive Chairman), 10% Owner | Director, 10% Owner | 10% Owner | 4 | Restricted Stock Units Derivative · Indirect · (m) | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −65,196 93,895 owned after | $0.00 | 2022-01-04 | |
| 2022-01-03 | Adesi 234 LLC | HandsOn 3, LLC | HOV Capital III LLC | HOV Services Ltd | HandsOn Fund 4 I, LLC | HOVS LLC | HandsOn Global Management, LLC | CHADHA PAR | Chadha Sharon | hof 2 llc 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, Officer (Executive Chairman), 10% Owner | Director, 10% Owner | 10% Owner | 4 | Restricted Stock Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −93,895 0 owned after | $0.00 | 2022-01-04 | |
| 2022-01-03 | REXFORD JOHN H Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −125,000 0 owned after | $0.00 | 2022-01-04 | |
| 2022-01-03 | Clark Coley Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −125,000 0 owned after | $0.00 | 2022-01-04 | |
| 2022-01-03 | BEILINSON MARC A Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −125,000 0 owned after | $0.00 | 2022-01-04 | |
| 2022-01-03 | Akins Martin P. Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −125,000 0 owned after | $0.00 | 2022-01-04 |