Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Exela Technologies, Inc.XELA · Entity 76832 | Director · Executive Chairman · 10% owner | November 21, 2024 | November 25, 2024 |
| Wilco 63 CorpWLCOU · Entity 6011 | 10% owner | June 17, 2026 | June 18, 2026 |
| XBP Global Holdings, Inc.XBP · Entity 7388 | Director | September 17, 2026 | September 21, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Exela Technologies, Inc.
Report date November 21, 2024 · Filed November 25, 2024
Jointly reported with Adesi 234 LLC, HandsOn Fund 4 I, LLC, HandsOn Global Management, LLC, hof 2 llc, Chadha Sharon
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock (as defined below)SEC Table I · non-derivative | Direct | 868,062 |
Reported balance
After 2024-11-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-11-21 · Grant · Acquired 868,062 · Balance 868,062 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F7: Shares were owned directly by Adesi. Adesi elected not to receive the 868,062 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 373,548 |
Reported balance
After 2024-11-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-11-21 · Disposition to issuer · Disposed 494,514 · Balance 373,548 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F7: Shares were owned directly by Adesi. Adesi elected not to receive the 868,062 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2024-11-21 · Disposition to issuer · Disposed 373,548 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F7: Shares were owned directly by Adesi. Adesi elected not to receive the 868,062 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 199,270 |
Reported balance
After 2024-11-21 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2024-11-21 · Grant · Acquired 149,270 · Balance 199,270 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F8: Shares were owned directly by HGM. HGM elected not to receive the 149,270 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to one of the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 50,000 |
Reported balance
After 2024-11-21 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2024-11-21 · Disposition to issuer · Disposed 149,270 · Balance 50,000 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F8: Shares were owned directly by HGM. HGM elected not to receive the 149,270 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to one of the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2024-11-21 · Disposition to issuer · Disposed 50,000 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F8: Shares were owned directly by HGM. HGM elected not to receive the 149,270 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to one of the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 9,452,256 |
Reported balance
After 2024-11-21 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2024-11-21 · Grant · Acquired 9,452,256 · Balance 9,452,256 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 3,979,025 |
Reported balance
After 2024-11-21 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2024-11-21 · Disposition to issuer · Disposed 5,473,231 · Balance 3,979,025 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 2,000,000 |
Reported balance
After 2024-11-21 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2024-11-21 · Disposition to issuer · Disposed 1,979,025 · Balance 2,000,000 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2024-11-21 · Disposition to issuer · Disposed 2,000,000 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 15 |
Reported balance
After 2024-11-21 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2024-11-21 · Grant · Acquired 8 · Balance 15 F10: Shares were owned directly by Sharon Chadha, Mr. Chadha's spouse. Mrs. Chadha was a former director of the Company, and the transaction reported is the issuance of 8 shares of Common Stock that became issuable following the Company's annual meeting in settlement of restricted stock units provided to her for her service as a director, however due to the small number of shares the Company did not direct its transfer agent to issue the shares to Mrs. Chadha until November 21, 2024. Mrs. Chadha elected not to receive the 8 shares and directed that such shares be issued to HOF 4. The closing price per share of Common Stock on June 13,2024 was $2.40. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 7 |
Reported balance
After 2024-11-21 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2024-11-21 · Disposition to issuer · Disposed 8 · Balance 7 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F10: Shares were owned directly by Sharon Chadha, Mr. Chadha's spouse. Mrs. Chadha was a former director of the Company, and the transaction reported is the issuance of 8 shares of Common Stock that became issuable following the Company's annual meeting in settlement of restricted stock units provided to her for her service as a director, however due to the small number of shares the Company did not direct its transfer agent to issue the shares to Mrs. Chadha until November 21, 2024. Mrs. Chadha elected not to receive the 8 shares and directed that such shares be issued to HOF 4. The closing price per share of Common Stock on June 13,2024 was $2.40. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2024-11-21 · Disposition to issuer · Disposed 7 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F10: Shares were owned directly by Sharon Chadha, Mr. Chadha's spouse. Mrs. Chadha was a former director of the Company, and the transaction reported is the issuance of 8 shares of Common Stock that became issuable following the Company's annual meeting in settlement of restricted stock units provided to her for her service as a director, however due to the small number of shares the Company did not direct its transfer agent to issue the shares to Mrs. Chadha until November 21, 2024. Mrs. Chadha elected not to receive the 8 shares and directed that such shares be issued to HOF 4. The closing price per share of Common Stock on June 13,2024 was $2.40. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2024-11-21 · Disposition to issuer · Disposed 354 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F11: Shares were owned directly by Par Chadha. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 4,818,439 |
Reported balance
After 2024-11-21 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2024-11-21 · Grant · Acquired 4,818,439 · Balance 4,818,439 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 10,291,670 |
Reported balance
After 2024-11-21 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2024-11-21 · Grant · Acquired 5,473,231 · Balance 10,291,670 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 10,291,678 |
Reported balance
After 2024-11-21 transaction · row 17
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 17 · 2024-11-21 · Grant · Acquired 8 · Balance 10,291,678 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 10,291,685 |
Reported balance
After 2024-11-21 transaction · row 18
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 18 · 2024-11-21 · Grant · Acquired 7 · Balance 10,291,685 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Common StockSEC Table I · non-derivative | Direct | 10,293,683 |
Reported balance
After 2024-11-21 transaction · row 19
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 19 · 2024-11-21 · Grant · Acquired 354 · Balance 10,293,683 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F3: As all shares of the Company's preferred stock held by Reporting Persons were transferred to HOF 4, only its share totals reported in the last row of Column 5 of Table I include shares of Common Stock issuable upon conversion of the Series A Preferred Stock and Series B Cumulative Convertible Perpetual Preferred Stock, par value $0.0001 per share (the "Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock")) owned by the Reporting Persons. Together with Mr. and Mrs. Chadha, HOF 4 filed a Schedule 13D on November 25, 2024 as a result of the Transactions which includes in its schedules additional detail regarding the distributions made for structuring and planning purposes. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred Stock (as defined below)SEC Table II · derivative / convertible security | Direct | 50,669 |
Reported balance
After 2024-11-21 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2024-11-21 · Other · Disposed 61,928 · Balance 50,669 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F7: Shares were owned directly by Adesi. Adesi elected not to receive the 868,062 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to the Trusts. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2024-11-21 · Other · Disposed 50,669 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F7: Shares were owned directly by Adesi. Adesi elected not to receive the 868,062 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to the Trusts. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 8,713 |
Reported balance
After 2024-11-21 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2024-11-21 · Other · Disposed 10,649 · Balance 8,713 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F8: Shares were owned directly by HGM. HGM elected not to receive the 149,270 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to one of the Trusts. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2024-11-21 · Other · Disposed 8,713 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F8: Shares were owned directly by HGM. HGM elected not to receive the 149,270 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to one of the Trusts. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 551,723 |
Reported balance
After 2024-11-21 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2024-11-21 · Other · Disposed 674,329 · Balance 551,723 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2024-11-21 · Other · Disposed 551,723 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 281,250 |
Reported balance
After 2024-11-21 transaction · row 31
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 31 · 2024-11-21 · Other · Disposed 343,750 · Balance 281,250 F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 331,919 |
Reported balance
After 2024-11-21 transaction · row 32
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 32 · 2024-11-21 · Other · Acquired 50,669 · Balance 331,919 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 883,642 |
Reported balance
After 2024-11-21 transaction · row 33
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 33 · 2024-11-21 · Other · Acquired 551,723 · Balance 883,642 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 892,355 |
Reported balance
After 2024-11-21 transaction · row 34
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 34 · 2024-11-21 · Other · Acquired 8,713 · Balance 892,355 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred Stock (as defined below)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2024-11-21 · Other · Disposed 48,031 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F7: Shares were owned directly by Adesi. Adesi elected not to receive the 868,062 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to the Trusts. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2024-11-21 · Other · Disposed 5,204 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F8: Shares were owned directly by HGM. HGM elected not to receive the 149,270 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to one of the Trusts. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2024-11-21 · Other · Disposed 196,421 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2024-11-21 · Other · Disposed 4,640 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F10: Shares were owned directly by Sharon Chadha, Mr. Chadha's spouse. Mrs. Chadha was a former director of the Company, and the transaction reported is the issuance of 8 shares of Common Stock that became issuable following the Company's annual meeting in settlement of restricted stock units provided to her for her service as a director, however due to the small number of shares the Company did not direct its transfer agent to issue the shares to Mrs. Chadha until November 21, 2024. Mrs. Chadha elected not to receive the 8 shares and directed that such shares be issued to HOF 4. The closing price per share of Common Stock on June 13,2024 was $2.40. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-21 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2024-11-21 · Other · Disposed 10,438 · Balance 0 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F11: Shares were owned directly by Par Chadha. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 48,031 |
Reported balance
After 2024-11-21 transaction · row 35
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 35 · 2024-11-21 · Other · Acquired 48,031 · Balance 48,031 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 53,235 |
Reported balance
After 2024-11-21 transaction · row 36
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 36 · 2024-11-21 · Other · Acquired 5,204 · Balance 53,235 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 249,656 |
Reported balance
After 2024-11-21 transaction · row 37
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 37 · 2024-11-21 · Other · Acquired 196,421 · Balance 249,656 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 254,296 |
Reported balance
After 2024-11-21 transaction · row 38
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 38 · 2024-11-21 · Other · Acquired 4,640 · Balance 254,296 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 264,734 |
Reported balance
After 2024-11-21 transaction · row 39
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 39 · 2024-11-21 · Other · Acquired 10,438 · Balance 264,734 F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock. F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms. F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568. F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration. F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group." F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 21, 2024, Exela Technologies, Inc. (the "Company" or the "Issuer") entered into Preferred Stock Exchange Agreements (each an "Exchange Agreement") with the Reporting Persons pursuant to which the Company agreed to exchange a number of such holders' shares of Series A Perpetual Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock") for shares of the Company's common stock, par value $0.0001 per share ("Common Stock") at a ratio determined by dividing the liquidation preference per share of Series A Preferred Stock ($16.54) by $1.18 (such transaction, the "Exchange"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, among other things, the transactions contemplated by the Exchange Agreement were approved by a special committee of the Company's board of directors comprised of two independent non-employee directors.
F2: In connection with, and simultaneous with, the Exchange, the Reporting Persons transferred certain shares among themselves and to various trusts, including trusts for the benefit of Par and Sharon Chadha's adult children (the "Trusts") the cumulative result of which is that upon completion of the transactions reported in this Form 4 (the "Transactions") HandsOn Fund 4 I, LLC , a Nevada limited liability company ("HOF 4") is the only Reporting Person that directly holds any shares of the Company's capital stock and became a beneficial owner of more than 10% of the Company's Common Stock.
F3: As all shares of the Company's preferred stock held by Reporting Persons were transferred to HOF 4, only its share totals reported in the last row of Column 5 of Table I include shares of Common Stock issuable upon conversion of the Series A Preferred Stock and Series B Cumulative Convertible Perpetual Preferred Stock, par value $0.0001 per share (the "Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock")) owned by the Reporting Persons. Together with Mr. and Mrs. Chadha, HOF 4 filed a Schedule 13D on November 25, 2024 as a result of the Transactions which includes in its schedules additional detail regarding the distributions made for structuring and planning purposes.
F4: As per note 1, the effective price of the Series A Preferred Stock disposed of in the Exchange was $16.54, its accumulated liquidation preference as of November 19, 2024, and the effective price of a share of Common Stock in the Exchange was $1.18. All transfers within the Reporting Group or to the Trusts were without payment of consideration.
F5: On November 21, 2024, Adesi 234 LLC, a Nevada limited liability company ("Adesi"), HandsOn Global Management, LLC ("HGM"), a Nevada limited liability company, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), and HOF 4, each directly owned shares of the Issuer. Adesi and HOF 2 together own a majority of HOF 4, which is managed by HGM. Adesi, HGM, HOF 2 and HOF 4 are referred to collectively herein as "the HGM Group."
F6: Mr. Par Chadha may be deemed to control the HGM Group, and may thus be deemed to beneficially own its shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock, including any shares of Common Stock issuable upon conversion thereof in accordance with their terms, in addition to any shares beneficially owned by his spouse, Sharon Chadha (who in turn may be deemed to beneficially own any shares beneficially owned by Par Chadha). The entities identified in note 5 above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of their pecuniary interest therein. None of the Reporting Persons have any beneficial ownership of the Trusts.
F7: Shares were owned directly by Adesi. Adesi elected not to receive the 868,062 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to the Trusts.
F8: Shares were owned directly by HGM. HGM elected not to receive the 149,270 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that such shares be issued to one of the Trusts.
F9: Shares were owned directly by HOF 2. HOF 2 elected not to receive the 9,452,256 shares of Common Stock otherwise issuable to it pursuant to the Exchange and directed that 5,473,231 of such shares be issued to HOF 4 and that 3,979,025 of such shares of Common Stock be issued to the Trusts.
F10: Shares were owned directly by Sharon Chadha, Mr. Chadha's spouse. Mrs. Chadha was a former director of the Company, and the transaction reported is the issuance of 8 shares of Common Stock that became issuable following the Company's annual meeting in settlement of restricted stock units provided to her for her service as a director, however due to the small number of shares the Company did not direct its transfer agent to issue the shares to Mrs. Chadha until November 21, 2024. Mrs. Chadha elected not to receive the 8 shares and directed that such shares be issued to HOF 4. The closing price per share of Common Stock on June 13,2024 was $2.40.
F11: Shares were owned directly by Par Chadha.
F12: Shares are owned directly by HOF 4. The number of shares reported in the final row of Column 5 of Table I includes 1,644 shares of Common Stock issuable upon conversion of the shares of Preferred Stock held by HOF 4 in accordance with their terms.
F13: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock. The shares of Series A Preferred Stock have no expiration date. As of November 21 2024, the conversion price for the Series A Preferred Stock was $0.00016.
F14: Each share of Series B Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series B Cumulative Convertible Perpetual Preferred Stock. The shares of Series B Preferred Stock have no expiration date. As of November 21, 2024, the conversion price for the Series B Preferred Stock was $0.00568.
Wilco 63 Corp
Report date June 17, 2026 · Filed June 18, 2026
Jointly reported with Wilco 63 Holding LLC, HandsOn Global Management, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-06-17 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: As described in the registration statement on Form S-1 (File No. 333-296376) of Wilco 63 Corporation (the "Issuer") under the heading "Description of Securities--Founder Shares," the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or at any time prior to the Issuer's initial business combination, at the option of the holder, on a one-for-one basis, subject to certain adjustments. The Class B ordinary shares have no expiration date. F2: These shares represent the Class B ordinary shares held by Wilco 63 Holding LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Issuer and the Sponsor. F3: HandsOn Global Management LLC ("HGM") is the sole managing member of the Sponsor and Par Chadha is the managing member of HGM and holds voting and investment discretion with respect to the ordinary shares held of record by the Sponsor. As such, Mr. Chadha may be deemed to have beneficial ownership of the securities held of record by the Sponsor. The reporting persons disclaim beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the registration statement on Form S-1 (File No. 333-296376) of Wilco 63 Corporation (the "Issuer") under the heading "Description of Securities--Founder Shares," the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination, or at any time prior to the Issuer's initial business combination, at the option of the holder, on a one-for-one basis, subject to certain adjustments. The Class B ordinary shares have no expiration date.
F2: These shares represent the Class B ordinary shares held by Wilco 63 Holding LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Issuer and the Sponsor.
F3: HandsOn Global Management LLC ("HGM") is the sole managing member of the Sponsor and Par Chadha is the managing member of HGM and holds voting and investment discretion with respect to the ordinary shares held of record by the Sponsor. As such, Mr. Chadha may be deemed to have beneficial ownership of the securities held of record by the Sponsor. The reporting persons disclaim beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein.
XBP Global Holdings, Inc.
Report date September 17, 2026 · Filed September 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 96,716 |
Reported balance
After 2026-09-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-17 · Grant · Acquired 70,754 · Balance 96,716 F1: Represents Restricted Stock Units ("RSUs") issued to the Reporting Person under the Company's 2024 Stock Incentive Plan, as amended. The RSUs are scheduled to vest in full on August 1, 2027. F2: Includes Restricted Stock Units previously granted to the Reporting Person under the Company's 2024 Stock Incentive Plan. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 204,946 |
Reported balance
Holding disclosure · report date 2026-09-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 204,946 F3: Reflects shares of Common Stock and warrants to purchase shares of Common Stock held by certain entities controlled by the reporting person. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 132,828 |
Reported balance
Holding disclosure · report date 2026-09-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 132,828 F3: Reflects shares of Common Stock and warrants to purchase shares of Common Stock held by certain entities controlled by the reporting person. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 112,897 |
Reported balance
Holding disclosure · report date 2026-09-17 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 112,897 F3: Reflects shares of Common Stock and warrants to purchase shares of Common Stock held by certain entities controlled by the reporting person. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 2,703,756 |
Reported balance
Holding disclosure · report date 2026-09-17 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 2,703,756 F3: Reflects shares of Common Stock and warrants to purchase shares of Common Stock held by certain entities controlled by the reporting person. |
| Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $49.80 · Expires 2030-07-29 | IndirectSee footnote | 663,241 |
Reported balance
Holding disclosure · report date 2026-09-17 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 663,241 F3: Reflects shares of Common Stock and warrants to purchase shares of Common Stock held by certain entities controlled by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Restricted Stock Units ("RSUs") issued to the Reporting Person under the Company's 2024 Stock Incentive Plan, as amended. The RSUs are scheduled to vest in full on August 1, 2027.
F2: Includes Restricted Stock Units previously granted to the Reporting Person under the Company's 2024 Stock Incentive Plan.
F3: Reflects shares of Common Stock and warrants to purchase shares of Common Stock held by certain entities controlled by the reporting person.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 22, 2024 Filed Apr 24, 2024 21:30 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantCommon Stock | 31,961 | $2.00 | $63,915.61 |
DisclosureSEC source: 0001104659-24-051302 · tm2412321-1_4seq1.xml · nonDerivative · entry 2 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 35,649 F2 · price: Represents the average price of shares of common stock purchased in multiple transactions at prices ranging from $1.97 to $2.005 per share. Full information regarding the number of shares purchased and specific prices will be made available upon request to the Company's Office of the General Counsel. F3 · ownership.nature: Shares held directly by HandsOn Global Management LLC and its affiliates (collectively, "HGM"). Par Chadha is the manager of HGM. Read SEC document |
| April 22, 2024 Filed May 16, 2024 21:36 UTC Amendment | Exela Technologies, Inc. XELA · Entity 76832 | PurchaseCommon Stock | 31,961 | $2.00 | $63,915.61 |
DisclosureSEC source: 0001104659-24-062633 · tm2414411-1_4aseq1.xml · nonDerivative · entry 2 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 35,649 F2 · price: Represents the average price of shares of common stock purchased in multiple transactions at prices ranging from $1.97 to $2.005 per share. Full information regarding the number of shares purchased and specific prices will be made available upon request to the Company's Office of the General Counsel. F3 · ownership.nature: Shares held directly by HandsOn Global Management LLC and its affiliates (collectively, "HGM"). Par Chadha is the manager of HGM. Read SEC document |
| December 27, 2023 Filed Apr 24, 2024 21:30 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantSeries A Convertible Preferred Stock · Derivative | 625,000 | $0.00 | $500.00 |
DisclosureSEC source: 0001104659-24-051302 · tm2412321-1_4seq1.xml · derivative · entry 4 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 625,000 Underlying: Common Stock · Not disclosed shares Expires not disclosed F6 · derivative.exercise_price: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F6 · derivative.exercise_date: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F6 · derivative.expiration_date: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F6 · derivative.underlying_shares: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F3 · ownership.nature: Shares held directly by HandsOn Global Management LLC and its affiliates (collectively, "HGM"). Par Chadha is the manager of HGM. Read SEC document |
| December 27, 2023 Filed May 16, 2024 21:36 UTC Amendment | Exela Technologies, Inc. XELA · Entity 76832 | GrantSeries A Convertible Preferred Stock · Derivative | 625,000 | $0.00 | $500.00 |
DisclosureSEC source: 0001104659-24-062633 · tm2414411-1_4aseq1.xml · derivative · entry 4 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 625,000 Underlying: Common Stock · Not disclosed shares Expires not disclosed F6 · derivative.exercise_price: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F6 · derivative.exercise_date: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F6 · derivative.expiration_date: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F6 · derivative.underlying_shares: Each share of Series A Preferred Stock is convertible at the holder's option, at any time into the number of shares of Common Stock determined as of the date of conversion using a certain conversion formula that takes into account the amount of liquidation preference per share as adjusted for accrued but unpaid dividends pursuant to the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock and Certificate of Decrease of Series A Perpetual Convertible Preferred Stock. The shares of Series A Convertible Preferred Stock have no expiration date. F3 · ownership.nature: Shares held directly by HandsOn Global Management LLC and its affiliates (collectively, "HGM"). Par Chadha is the manager of HGM. Read SEC document |
| October 09, 2023 Filed Apr 24, 2024 21:30 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantSpecial Voting Stock | 1,000,000 | $0.00 | $100.00 |
DisclosureSEC source: 0001104659-24-051302 · tm2412321-1_4seq1.xml · nonDerivative · entry 3 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,000,000 F4 · security: On October 9, 2023, the Company entered into the Subscription, Voting and Redemption Agreement with GP-HGM LLC, an entity affiliated with Par Chadha, pursuant to which GP-HGM LLC purchased 1,000,000 shares of a new class of preferred stock designated as "Special Voting Stock" for an aggregate purchase price of $100. Each share of Special Voting Stock is entitled to 20,000 votes per share on certain items to be voted upon at an upcoming special meeting of the Company's stockholders and will be redeemed following the vote on such items. F5 · security: Shares held directly by GP-HGM LLC, of which Par Chadha is the manager. F5 · ownership.nature: Shares held directly by GP-HGM LLC, of which Par Chadha is the manager. Read SEC document |
| October 09, 2023 Filed May 16, 2024 21:36 UTC Amendment | Exela Technologies, Inc. XELA · Entity 76832 | GrantSpecial Voting Stock | 1,000,000 | $0.00 | $100.00 |
DisclosureSEC source: 0001104659-24-062633 · tm2414411-1_4aseq1.xml · nonDerivative · entry 3 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,000,000 F4 · security: On October 9, 2023, the Company entered into the Subscription, Voting and Redemption Agreement with GP-HGM LLC, an entity affiliated with Par Chadha, pursuant to which GP-HGM LLC purchased 1,000,000 shares of a new class of preferred stock designated as "Special Voting Stock" for an aggregate purchase price of $100. Each share of Special Voting Stock is entitled to 20,000 votes per share on certain items to be voted upon at an upcoming special meeting of the Company's stockholders and will be redeemed following the vote on such items. F5 · security: Shares held directly by GP-HGM LLC, of which Par Chadha is the manager. F5 · ownership.nature: Shares held directly by GP-HGM LLC, of which Par Chadha is the manager. Read SEC document |
| March 07, 2023 Filed Mar 10, 2023 01:48 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantSpecial Voting Stock | 1,000,000 | $0.00 | $100.00 |
DisclosureSEC source: 0001104659-23-030732 · tm239069-1_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,000,000 F1 · security: On March 7, 2023, the Company created a new class of its preferred stock and designated such stock as "Special Voting Stock" and entered into a Subscription, Voting and Redemption Agreement (the "Voting Agreement") related to the issuance, voting and redemption of the Special Voting Stock. Each share of Special Voting Stock is entitled to 75,000 votes per share on certain items to be voted upon at an upcoming special meeting of the Company's stockholders and will be redeemed following the vote on such items. F2 · security: Shares held directly by GP-HGM LLC of which Mr. Chadha is the manager. F2 · ownership.nature: Shares held directly by GP-HGM LLC of which Mr. Chadha is the manager. Read SEC document |
| August 16, 2022 Filed Aug 19, 2022 01:54 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionRestricted Stock Units · Derivative | 7,954 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-092707 · tm2223344-3_4seq1.xml · derivative · entry 4 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,954 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. F3 · kind: On December 31, 2021, Sharon Chadha was granted 1,387 restricted stock units and Par Chadha was granted 7,954 restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its 2022 annual meeting rather than incurring the expense of pursuing litigation. Following the re-approval of the amended and restated Plan at the 2022 annual meeting, the Compensation Committee determined, that the restricted stock units be settled in cash effective August 16, 2022. F3 · derivative.exercise_date: On December 31, 2021, Sharon Chadha was granted 1,387 restricted stock units and Par Chadha was granted 7,954 restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its 2022 annual meeting rather than incurring the expense of pursuing litigation. Following the re-approval of the amended and restated Plan at the 2022 annual meeting, the Compensation Committee determined, that the restricted stock units be settled in cash effective August 16, 2022. F3 · derivative.expiration_date: On December 31, 2021, Sharon Chadha was granted 1,387 restricted stock units and Par Chadha was granted 7,954 restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its 2022 annual meeting rather than incurring the expense of pursuing litigation. Following the re-approval of the amended and restated Plan at the 2022 annual meeting, the Compensation Committee determined, that the restricted stock units be settled in cash effective August 16, 2022. Read SEC document |
| August 16, 2022 Filed Aug 19, 2022 01:54 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionRestricted Stock Units · Derivative | 1,387 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-092707 · tm2223344-3_4seq1.xml · derivative · entry 3 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,387 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. F3 · kind: On December 31, 2021, Sharon Chadha was granted 1,387 restricted stock units and Par Chadha was granted 7,954 restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its 2022 annual meeting rather than incurring the expense of pursuing litigation. Following the re-approval of the amended and restated Plan at the 2022 annual meeting, the Compensation Committee determined, that the restricted stock units be settled in cash effective August 16, 2022. F3 · derivative.exercise_date: On December 31, 2021, Sharon Chadha was granted 1,387 restricted stock units and Par Chadha was granted 7,954 restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its 2022 annual meeting rather than incurring the expense of pursuing litigation. Following the re-approval of the amended and restated Plan at the 2022 annual meeting, the Compensation Committee determined, that the restricted stock units be settled in cash effective August 16, 2022. F3 · derivative.expiration_date: On December 31, 2021, Sharon Chadha was granted 1,387 restricted stock units and Par Chadha was granted 7,954 restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its 2022 annual meeting rather than incurring the expense of pursuing litigation. Following the re-approval of the amended and restated Plan at the 2022 annual meeting, the Compensation Committee determined, that the restricted stock units be settled in cash effective August 16, 2022. F4 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. Read SEC document |
| July 21, 2022 Filed Jul 22, 2022 01:01 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantCommon Stock, par value $0.0001 per share (''Common Stock'') | 666,666 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-081688 · tm2221561-1_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666,683 F14 · shares: Estimated based on the closing price for the Common Stock on the Nasdaq Stock Market on July 21, 2022. The actual number of purchased shares will be calculated based on the closing price for the Common Stock on the Nasdaq Stock Market on the date that is two business days following the Company's earnings release for the quarter ended June 30, 2022. F13 · price: On July 21, 2022, pursuant to the Subscription Agreement by and between Par Chadha and the Company, Mr. Chadha entered into a binding agreement to purchase $100,000 worth of Common Stock from the Company. The amount of purchased shares will be calculated based on the closing price for the Common Stock on the Nasdaq Stock Market on the date that is two business days following the Company's earnings release for the quarter ended June 30, 2022. F13 · balance_after: On July 21, 2022, pursuant to the Subscription Agreement by and between Par Chadha and the Company, Mr. Chadha entered into a binding agreement to purchase $100,000 worth of Common Stock from the Company. The amount of purchased shares will be calculated based on the closing price for the Common Stock on the Nasdaq Stock Market on the date that is two business days following the Company's earnings release for the quarter ended June 30, 2022. F14 · balance_after: Estimated based on the closing price for the Common Stock on the Nasdaq Stock Market on July 21, 2022. The actual number of purchased shares will be calculated based on the closing price for the Common Stock on the Nasdaq Stock Market on the date that is two business days following the Company's earnings release for the quarter ended June 30, 2022. Read SEC document |
| July 21, 2022 Filed Aug 15, 2022 22:51 UTC Amendment | Exela Technologies, Inc. XELA · Entity 76832 | GrantCommon Stock, par value $0.0001 per share (''Common Stock'') | 70,921 | $1.41 | $99,998.61 |
DisclosureSEC source: 0001104659-22-091463 · tm2223344d1_4aseq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,921 F14 · shares: As previously disclosed, pursuant to the Subscription Agreement, dated July 21, 2022, by and between Par Chadha and the Company, Mr. Chadha purchased $100,000 worth of Common Stock from the Company on August 11, 2022, the date which was two business days following the Company's earnings release for the quarter ended June 30, 2022. The closing share price for Common Stock on August 11, 2022 was $1.41, resulting in the purchase of 70,921 shares of Common Stock. F13 · balance_after: On July 21, 2022, pursuant to the Subscription Agreement by and between Par Chadha and the Company, Mr. Chadha entered into a binding agreement to purchase $100,000 worth of Common Stock from the Company. F14 · balance_after: As previously disclosed, pursuant to the Subscription Agreement, dated July 21, 2022, by and between Par Chadha and the Company, Mr. Chadha purchased $100,000 worth of Common Stock from the Company on August 11, 2022, the date which was two business days following the Company's earnings release for the quarter ended June 30, 2022. The closing share price for Common Stock on August 11, 2022 was $1.41, resulting in the purchase of 70,921 shares of Common Stock. F15 · balance_after: The number of shares reported in this Form 4 account for the one-for-twenty Reverse Stock Split effected by the Issuer on July 26, 2022. No fractional shares were issued in connection with the Reverse Stock Split. Stockholders who otherwise were entitled to receive fractional shares of Common Stock received cash (without interest or deduction) from the Corporation's transfer agent in lieu of such fractional share interests. Read SEC document |
| June 27, 2022 Filed Jun 30, 2022 00:55 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionRestricted Stock Units · Derivative | 30,303 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-075921 · tm2220064-1_4seq1.xml · derivative · entry 9 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 30,303 Underlying: Common Stock · 30,303 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. F2 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. F1 · derivative.exercise_date: On October 11, 2021, Sharon Chadha was granted 90,909 restricted stock as non-employee director equity compensation pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The remainder of this award will vest immediately prior to the 2023 annual meeting of the Company. F1 · derivative.expiration_date: On October 11, 2021, Sharon Chadha was granted 90,909 restricted stock as non-employee director equity compensation pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The remainder of this award will vest immediately prior to the 2023 annual meeting of the Company. F5 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. Read SEC document |
| June 27, 2022 Filed Jun 30, 2022 00:55 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionCommon Stock | 30,303 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-075921 · tm2220064-1_4seq1.xml · nonDerivative · entry 3 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 30,306 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F5 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. Read SEC document |
| May 31, 2022 Filed Jun 3, 2022 01:48 UTC | Exela Technologies, Inc. XELA · Entity 76832 | OtherRestricted Stock Units · Derivative | 159,091 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-067786 · tm2217555-4_4seq1.xml · derivative · entry 8 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,091 Underlying: Common Stock · 159,091 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. If the Company's Amended and Restated Stock 2018 Incentive Plan is not approved at the 2022 annual meeting, the restricted stock units will be settled in cash. F3 · kind: On December 31, 2021, the reporting person was granted restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its upcoming annual meeting rather than incurring the expense of pursuing litigation. F14 · kind: In connection with the re-submission of the Plan, the delivery of shares under the Plan pursuant to the settlement of restricted stock units granted under the Plan on December 31, 2021 has been rescinded and the amendment and restatement of the 2018 Stock Incentive Plan has been terminated. The restricted stock units will be settled upon re-approval of the amended and restated Plan in either cash or shares of common stock, as will be determined by our Compensation Committee in its sole discretion, which is expected to occur at the 2022 annual meeting. If the Plan is not approved, the restricted stock units will be settled in cash. F2 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. If the Company's Amended and Restated Stock 2018 Incentive Plan is not approved at the 2022 annual meeting, the restricted stock units will be settled in cash. F13 · derivative.exercise_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F13 · derivative.expiration_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. Read SEC document |
| May 31, 2022 Filed Jun 3, 2022 01:48 UTC | Exela Technologies, Inc. XELA · Entity 76832 | OtherRestricted Stock Units · Derivative | 27,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-067786 · tm2217555-4_4seq1.xml · derivative · entry 7 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 27,740 Underlying: Common Stock · 27,740 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. If the Company's Amended and Restated Stock 2018 Incentive Plan is not approved at the 2022 annual meeting, the restricted stock units will be settled in cash. F3 · kind: On December 31, 2021, the reporting person was granted restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its upcoming annual meeting rather than incurring the expense of pursuing litigation. F14 · kind: In connection with the re-submission of the Plan, the delivery of shares under the Plan pursuant to the settlement of restricted stock units granted under the Plan on December 31, 2021 has been rescinded and the amendment and restatement of the 2018 Stock Incentive Plan has been terminated. The restricted stock units will be settled upon re-approval of the amended and restated Plan in either cash or shares of common stock, as will be determined by our Compensation Committee in its sole discretion, which is expected to occur at the 2022 annual meeting. If the Plan is not approved, the restricted stock units will be settled in cash. F2 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash, as elected by the Compensation Committee of the Board of Directors of the Company. If the Company's Amended and Restated Stock 2018 Incentive Plan is not approved at the 2022 annual meeting, the restricted stock units will be settled in cash. F12 · derivative.exercise_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Sharon Chadha was granted 27,740 restricted stock units as non-employee director equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F12 · derivative.expiration_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Sharon Chadha was granted 27,740 restricted stock units as non-employee director equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F6 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. Read SEC document |
| May 31, 2022 Filed Jun 3, 2022 01:48 UTC | Exela Technologies, Inc. XELA · Entity 76832 | OtherCommon Stock | 27,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-067786 · tm2217555-4_4seq1.xml · nonDerivative · entry 3 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3 F6 · security: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F3 · kind: On December 31, 2021, the reporting person was granted restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its upcoming annual meeting rather than incurring the expense of pursuing litigation. F14 · kind: In connection with the re-submission of the Plan, the delivery of shares under the Plan pursuant to the settlement of restricted stock units granted under the Plan on December 31, 2021 has been rescinded and the amendment and restatement of the 2018 Stock Incentive Plan has been terminated. The restricted stock units will be settled upon re-approval of the amended and restated Plan in either cash or shares of common stock, as will be determined by our Compensation Committee in its sole discretion, which is expected to occur at the 2022 annual meeting. If the Plan is not approved, the restricted stock units will be settled in cash. F3 · price: On December 31, 2021, the reporting person was granted restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its upcoming annual meeting rather than incurring the expense of pursuing litigation. F14 · price: In connection with the re-submission of the Plan, the delivery of shares under the Plan pursuant to the settlement of restricted stock units granted under the Plan on December 31, 2021 has been rescinded and the amendment and restatement of the 2018 Stock Incentive Plan has been terminated. The restricted stock units will be settled upon re-approval of the amended and restated Plan in either cash or shares of common stock, as will be determined by our Compensation Committee in its sole discretion, which is expected to occur at the 2022 annual meeting. If the Plan is not approved, the restricted stock units will be settled in cash. F6 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. Read SEC document |
| May 31, 2022 Filed Jun 3, 2022 01:48 UTC | Exela Technologies, Inc. XELA · Entity 76832 | OtherCommon Stock, par value $0.0001 per share (''Common Stock'') | 93,895 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-067786 · tm2217555-4_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17 F3 · kind: On December 31, 2021, the reporting person was granted restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its upcoming annual meeting rather than incurring the expense of pursuing litigation. F14 · kind: In connection with the re-submission of the Plan, the delivery of shares under the Plan pursuant to the settlement of restricted stock units granted under the Plan on December 31, 2021 has been rescinded and the amendment and restatement of the 2018 Stock Incentive Plan has been terminated. The restricted stock units will be settled upon re-approval of the amended and restated Plan in either cash or shares of common stock, as will be determined by our Compensation Committee in its sole discretion, which is expected to occur at the 2022 annual meeting. If the Plan is not approved, the restricted stock units will be settled in cash. F3 · price: On December 31, 2021, the reporting person was granted restricted stock units in accordance with the Company's Amended and Restated Stock 2018 Incentive Plan ("Plan") that were settled in January 2022. The Plan was approved by the stockholders of the Company at the Company's 2021 annual meeting held December 31, 2021. Subsequent to such approval, a lawsuit was filed against the Company alleging that the Company did not properly count the broker non-votes on such matter, and that as a result the Plan was not properly approved at the 2021 annual meeting. The Company decided to re-submit the Plan to its stockholders for re-approvals at its upcoming annual meeting rather than incurring the expense of pursuing litigation. F14 · price: In connection with the re-submission of the Plan, the delivery of shares under the Plan pursuant to the settlement of restricted stock units granted under the Plan on December 31, 2021 has been rescinded and the amendment and restatement of the 2018 Stock Incentive Plan has been terminated. The restricted stock units will be settled upon re-approval of the amended and restated Plan in either cash or shares of common stock, as will be determined by our Compensation Committee in its sole discretion, which is expected to occur at the 2022 annual meeting. If the Plan is not approved, the restricted stock units will be settled in cash. Read SEC document |
| May 19, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantSpecial Voting Stock | 1,000,000 | $0.00 | $100.00 |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · nonDerivative · entry 8 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,000,000 F14 · security: On May 19, 2022, the Company created a new class of its preferred stock and designated such stock as "Special Voting Stock" and entered into a Subscription, Voting and Redemption Agreement (the "Voting Agreement") related to the issuance, voting and redemption of the Special Voting Stock. Each share of Special Voting Stock is entitled to 20,000 votes per share on certain items to be voted upon at the Company's 2022 annual meeting of its stockholders and will be redeemed following the vote on such items. F15 · security: Shares held directly by GP-HGM LLC of which Mr. Chadha is the manager. F15 · ownership.nature: Shares held directly by GP-HGM LLC of which Mr. Chadha is the manager. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cum. Convert Perpetual Preferred Stock · Derivative | 775 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · derivative · entry 15 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 775 Underlying: Common Stock · 15,500 shares Expires not disclosed F13 · security: Shares directly owned by HOF3 F12 · security: On May, 17, 2022, the Issuer declared a dividend of one share of Tandem Preferred Stock for each share of outstanding Series B Preferred Stock as of May 17, 2022. Each share of Tandem Preferred Stock initially has 20 votes (representing the number of votes of the Common Stock surrendered in exchange for one share of Series B Preferred Stock). F1 · derivative.exercise_price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F13 · ownership.nature: Shares directly owned by HOF3 Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cum. Convert Perpetual Preferred Stock · Derivative | 5,204 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · derivative · entry 13 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,204 Underlying: Common Stock · 104,080 shares Expires not disclosed F9 · security: Shares directly owned by HGM. F12 · security: On May, 17, 2022, the Issuer declared a dividend of one share of Tandem Preferred Stock for each share of outstanding Series B Preferred Stock as of May 17, 2022. Each share of Tandem Preferred Stock initially has 20 votes (representing the number of votes of the Common Stock surrendered in exchange for one share of Series B Preferred Stock). F1 · derivative.exercise_price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F9 · ownership.nature: Shares directly owned by HGM. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cum. Convert Perpetual Preferred Stock · Derivative | 285,606 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · derivative · entry 12 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 285,606 Underlying: Common Stock · 5,712,120 shares Expires not disclosed F10 · security: Shares directly owned by HOVS. F12 · security: On May, 17, 2022, the Issuer declared a dividend of one share of Tandem Preferred Stock for each share of outstanding Series B Preferred Stock as of May 17, 2022. Each share of Tandem Preferred Stock initially has 20 votes (representing the number of votes of the Common Stock surrendered in exchange for one share of Series B Preferred Stock). F1 · derivative.exercise_price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F10 · ownership.nature: Shares directly owned by HOVS. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cum. Convert Perpetual Preferred Stock · Derivative | 167,269 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · derivative · entry 11 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 195,646 Underlying: Common Stock · 3,345,380 shares Expires not disclosed F8 · security: Shares directly owned by HOF 2. F12 · security: On May, 17, 2022, the Issuer declared a dividend of one share of Tandem Preferred Stock for each share of outstanding Series B Preferred Stock as of May 17, 2022. Each share of Tandem Preferred Stock initially has 20 votes (representing the number of votes of the Common Stock surrendered in exchange for one share of Series B Preferred Stock). F1 · derivative.exercise_price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F8 · ownership.nature: Shares directly owned by HOF 2. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cum. Convert Perpetual Preferred Stock · Derivative | 4,640 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · derivative · entry 10 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,640 Underlying: Common Stock · 92,800 shares Expires not disclosed F6 · security: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F12 · security: On May, 17, 2022, the Issuer declared a dividend of one share of Tandem Preferred Stock for each share of outstanding Series B Preferred Stock as of May 17, 2022. Each share of Tandem Preferred Stock initially has 20 votes (representing the number of votes of the Common Stock surrendered in exchange for one share of Series B Preferred Stock). F1 · derivative.exercise_price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F6 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cum. Convert Perpetual Preferred Stock · Derivative | 10,438 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · derivative · entry 9 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,438 Underlying: Common Stock · 208,760 shares Expires not disclosed F12 · security: On May, 17, 2022, the Issuer declared a dividend of one share of Tandem Preferred Stock for each share of outstanding Series B Preferred Stock as of May 17, 2022. Each share of Tandem Preferred Stock initially has 20 votes (representing the number of votes of the Common Stock surrendered in exchange for one share of Series B Preferred Stock). F1 · derivative.exercise_price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 15,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · nonDerivative · entry 7 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F13 · security: Shares directly owned by HOF3 F1 · price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F13 · ownership.nature: Shares directly owned by HOF3 Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 5,712,120 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · nonDerivative · entry 5 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3 F10 · security: Shares directly owned by HOVS. F1 · price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F10 · ownership.nature: Shares directly owned by HOVS. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 104,080 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · nonDerivative · entry 4 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3 F9 · security: Shares directly owned by HGM. F1 · price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F9 · ownership.nature: Shares directly owned by HGM. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 92,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · nonDerivative · entry 3 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 27,743 F6 · security: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F1 · price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F6 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 3,345,380 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · nonDerivative · entry 2 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19 F8 · security: Shares directly owned by HOF 2. F1 · price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of his or her pecuniary interest therein. F8 · ownership.nature: Shares directly owned by HOF 2. Read SEC document |
| May 17, 2022 Filed May 23, 2022 20:15 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 208,760 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-063857 · tm2216055-5_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,912 F1 · price: On May 17, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. Read SEC document |
| March 11, 2022 Filed Mar 16, 2022 21:51 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cumulative Convertible Perpetual Pref. Stock · Derivative | 28,377 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-034596 · tm228645-6_4seq1.xml · derivative · entry 9 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner Chadha Sharon · CIK 0001885887 · Director · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 28,377 Underlying: Common Stock · 960,620 shares Expires not disclosed F11 · security: Shares directly owned by Adesi. F1 · derivative.exercise_price: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. F11 · ownership.nature: Shares directly owned by Adesi. Read SEC document |
| March 11, 2022 Filed Mar 16, 2022 21:51 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Grant6.00% Series B Cumulative Convertible Perpetual Pref. Stock · Derivative | 48,031 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001104659-22-034596 · tm228645-6_4seq1.xml · derivative · entry 8 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner Chadha Sharon · CIK 0001885887 · Director · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 48,031 Underlying: Common Stock · 567,540 shares Expires not disclosed F8 · security: Shares directly owned by HOF 2. F1 · derivative.exercise_price: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_price: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · kind: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F3 · price: A liquidation preference of $25.00 per share of Series B Preferred Stock means an effective price of $1.25 per share of Common Stock tendered in the Offer. F1 · derivative.exercise_date: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.exercise_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F1 · derivative.expiration_date: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F2 · derivative.expiration_date: Holders of the Issuer's Series B Preferred Stock have the option to convert some or all of their shares of Series B Preferred Stock initially into shares of Common Stock at a Conversion Price of $1.25 (subject to adjustment in certain events). In addition, if at any time the Five-Day VWAP of the Issuer's Common Stock exceeds the Conversion Price, the Issuer will have the option to convert all outstanding shares of Series B Preferred Stock into shares of Common Stock at the Conversion Price of $1.25. The Series B Preferred Stock has no maturity date. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. F8 · ownership.nature: Shares directly owned by HOF 2. Read SEC document |
| March 11, 2022 Filed Mar 16, 2022 21:51 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 960,620 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-034596 · tm228645-6_4seq1.xml · nonDerivative · entry 6 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner Chadha Sharon · CIK 0001885887 · Director · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13 F11 · security: Shares directly owned by Adesi. F1 · price: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. F11 · ownership.nature: Shares directly owned by Adesi. Read SEC document |
| March 11, 2022 Filed Mar 16, 2022 21:51 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Disposition to issuerCommon Stock | 567,540 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-034596 · tm228645-6_4seq1.xml · nonDerivative · entry 2 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner Chadha Sharon · CIK 0001885887 · Director · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,407,899 F8 · security: Shares directly owned by HOF 2. F1 · price: On March 11, 2022, the Issuer completed an offer to exchange shares of its Common Stock for its 6.00% Series B Cumulative Convertible Perpetual Preferred Stock (the "Series B Preferred Stock"), with each 20 shares of Common Stock being exchangeable in the Offer for one share of Series B Preferred Stock having a liquidation preference of $25.00 per share of Series B Preferred Stock (an effective price of $1.25 per share of Common Stock). For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the transactions contemplated by this Form 4. F4 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F5 · ownership.nature: Mr. Par Chadha, may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. F8 · ownership.nature: Shares directly owned by HOF 2. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionRestricted Stock Units · Derivative | 93,895 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · derivative · entry 14 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 93,895 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F14 · derivative.exercise_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F14 · derivative.expiration_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F3 · ownership.nature: Shares owned directly by Par Chadha, Sharon Chadha's spouse. F4 · ownership.nature: Sharon Chadha may be deemed to beneficially own shares of the Issuer owned by Par Chadha, her spouse, and entities owned or controlled by Par and/or Sharon Chadha. The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Tax withholdingRestricted Stock Units · Derivative | 65,196 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · derivative · entry 13 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 93,895 Underlying: Common Stock · 65,196 shares Expires not disclosed F10 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F14 · derivative.exercise_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F14 · derivative.expiration_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F3 · ownership.nature: Shares owned directly by Par Chadha, Sharon Chadha's spouse. F4 · ownership.nature: Sharon Chadha may be deemed to beneficially own shares of the Issuer owned by Par Chadha, her spouse, and entities owned or controlled by Par and/or Sharon Chadha. The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionRestricted Stock Units · Derivative | 27,740 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · derivative · entry 12 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,740 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F12 · derivative.exercise_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Sharon Chadha was granted 27,740 restricted stock units as non-employee director equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F12 · derivative.expiration_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Sharon Chadha was granted 27,740 restricted stock units as non-employee director equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionCommon Stock | 93,895 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · nonDerivative · entry 3 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 302,672 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Shares owned directly by Par Chadha, Sharon Chadha's spouse. F13 · shares: Shares of Common Stock issued upon vesting of restricted stock units will be settled following filing by Exela Technologies Inc. of a Registration Statement on Form S-8 with respect thereto. F10 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F3 · ownership.nature: Shares owned directly by Par Chadha, Sharon Chadha's spouse. F4 · ownership.nature: Sharon Chadha may be deemed to beneficially own shares of the Issuer owned by Par Chadha, her spouse, and entities owned or controlled by Par and/or Sharon Chadha. The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionCommon Stock | 27,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · nonDerivative · entry 2 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,543 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F13 · shares: Shares of Common Stock issued upon vesting of restricted stock units will be settled following filing by Exela Technologies Inc. of a Registration Statement on Form S-8 with respect thereto. F10 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. Read SEC document |
| December 31, 2021 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantRestricted Stock Units · Derivative | 159,091 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · derivative · entry 11 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 159,091 Underlying: Common Stock · 159,091 shares Expires not disclosed F10 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F10 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F14 · derivative.exercise_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F14 · derivative.expiration_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Par Chadha was granted 159,091 restricted stock units as equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F3 · ownership.nature: Shares owned directly by Par Chadha, Sharon Chadha's spouse. F4 · ownership.nature: Sharon Chadha may be deemed to beneficially own shares of the Issuer owned by Par Chadha, her spouse, and entities owned or controlled by Par and/or Sharon Chadha. The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. Read SEC document |
| December 31, 2021 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantRestricted Stock Units · Derivative | 27,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · derivative · entry 10 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,740 Underlying: Common Stock · 27,740 shares Expires not disclosed F10 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F10 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F12 · derivative.exercise_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Sharon Chadha was granted 27,740 restricted stock units as non-employee director equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. F12 · derivative.expiration_date: On December 31, 2021, following the Company's 2021 annual meeting of stockholders, Sharon Chadha was granted 27,740 restricted stock units as non-employee director equity compensation for 2021 pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The restricted stock units vested on January 3, 2022, the first business day of 2022. Read SEC document |
| December 31, 2021 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionRestricted Stock Units · Derivative | 30,303 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · derivative · entry 9 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,606 Underlying: Common Stock · 30,303 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. F11 · derivative.exercise_date: On October 11, 2021, Sharon Chadha was granted 90,909 restricted stock as non-employee director equity compensation pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The remainder of this award will vest in equal installments immediately prior to each of the 2022 and 2023 annual meetings of the Company F11 · derivative.expiration_date: On October 11, 2021, Sharon Chadha was granted 90,909 restricted stock as non-employee director equity compensation pursuant to the terms and conditions of the Company's Director Compensation Policy and 2018 Stock Incentive Plan. The remainder of this award will vest in equal installments immediately prior to each of the 2022 and 2023 annual meetings of the Company Read SEC document |
| December 31, 2021 Filed Jan 5, 2022 02:46 UTC | Exela Technologies, Inc. XELA · Entity 76832 | Exercise / conversionCommon Stock, par value $0.0001 per share (''Common Stock'') | 30,303 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-001189 · tm221435-7_4seq1.xml · nonDerivative · entry 1 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,803 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock, which may be settled in shares of Common Stock or cash as elected by the Compensation Committee of the Board of Directors of the Company. Read SEC document |
| December 09, 2021 Filed Dec 10, 2021 13:50 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantCommon Stock, par value $0.0001 per share (''Common Stock'') | 158,730 | $1.26 | $199,999.80 |
DisclosureSEC source: 0001104659-21-148385 · tm2135129-1_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner Chadha Sharon · CIK 0001885887 · Director · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,777 F11 · price: On December 9, pursuant to the Subscription Agreement by and between Par Chadha and Exela Technologies, Inc., Par Chadha purchased 158,730 shares of Common Stock for an aggregate purchase price of $200,000. The amount of purchased shares was calculated based on the share price at the close of business on December 8, 2021. F10 · balance_after: The number of shares reported in this Form 4 account for the one-for-three Reverse Stock Split effected by the Issuer on January 25, 2021. Read SEC document |
| November 15, 2021 Filed Nov 17, 2021 21:01 UTC | Exela Technologies, Inc. XELA · Entity 76832 | SaleCommon Stock, par value $0.0001 per share (''Common Stock'') | 100,000 | $1.66 | $166,000.00 |
DisclosureSEC source: 0001104659-21-140544 · tm2132515-3_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · Director · 10% owner Adesi 234 LLC · CIK 0001712365 · Director · 10% owner hof 2 llc · CIK 0001712473 · Director · 10% owner HOVS LLC · CIK 0001712484 · Director · 10% owner HOV Services Ltd · CIK 0001712482 · Director · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · Director · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · Director · 10% owner HandsOn 3, LLC · CIK 0001741367 · Director · 10% owner Chadha Sharon · CIK 0001885887 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,975,439 F5 · security: Shares directly owned by HOF 2. F3 · price: On November 15, 2021, pursuant to a plan of disposition adopted by HOF 2 on March 26, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "10b5-1 Plan"), HOF 2 sold 100,000 shares. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F4 · balance_after: The number of shares reported in this Form 4 account for the one-for-three Reverse Stock Split effected by the Issuer on January 25, 2021. F1 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") and Sharon Chadha each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. Sharon Chadha is Par Chadha's spouse. Mr. Par Chadha may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. F2 · ownership.nature: The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 09, 2021 Filed Nov 10, 2021 21:40 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantCommon Stock, par value $0.0001 per share (''Common Stock'') | 62,500 | $1.60 | $100,000.00 |
DisclosureSEC source: 0001104659-21-136991 · tm2132515-1_4seq1.xml · nonDerivative · entry 1 Chadha Sharon · CIK 0001885887 · Director · 10% owner CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · 10% owner Adesi 234 LLC · CIK 0001712365 · 10% owner hof 2 llc · CIK 0001712473 · 10% owner HOVS LLC · CIK 0001712484 · 10% owner HOV Services Ltd · CIK 0001712482 · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · 10% owner HandsOn 3, LLC · CIK 0001741367 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,500 F11 · price: OnNovember 9, pursuant to the Subscription Agreement by and between Sharon Chadha and Exela Technologies, Inc., Mrs. Sharon Chadha purchased 62,500 shares of Common Stock for an aggregate purchase price of $100,000. The amount of purchased shares was calculated based on the share price at the close of business on November 9, 2021. F10 · balance_after: The number of shares reported in this Form 4 account for the one-for-three Reverse Stock Split effected by the Issuer on January 25, 2021. Read SEC document |
| October 15, 2021 Filed Oct 15, 2021 21:51 UTC | Exela Technologies, Inc. XELA · Entity 76832 | SaleCommon Stock, par value $0.0001 per share (''Common Stock'') | 100,000 | $1.69 | $169,000.00 |
DisclosureSEC source: 0001104659-21-126844 · tm2129779-4_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · Director · 10% owner Adesi 234 LLC · CIK 0001712365 · Director · 10% owner hof 2 llc · CIK 0001712473 · Director · 10% owner HOVS LLC · CIK 0001712484 · Director · 10% owner HOV Services Ltd · CIK 0001712482 · Director · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · Director · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · Director · 10% owner HandsOn 3, LLC · CIK 0001741367 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,012,939 F5 · security: Shares directly owned by HOF 2. F3 · price: On October 15, 2021, pursuant to a plan of disposition adopted by HOF 2 on March 26, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "10b5-1 Plan"), HOF 2 sold 100,000 shares. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F4 · balance_after: The number of shares reported in this Form 4 account for the one-for-three Reverse Stock Split effected by the Issuer on January 25, 2021. F1 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. F2 · ownership.nature: Mr. Par Chadha may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 11, 2021 Filed Oct 14, 2021 01:38 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantRestricted Stock Unit · Derivative | 90,909 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-125956 · tm2129779d1_4seq1.xml · derivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 90,909 Underlying: Common Stock · 90,909 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units will vest ratably over a three-year period immediately prior to the first, second and third Annual Meetings subsequent to October 11, 2021. F1 · price: These restricted stock units will vest ratably over a three-year period immediately prior to the first, second and third Annual Meetings subsequent to October 11, 2021. F2 · derivative.exercise_date: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock. F2 · derivative.expiration_date: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock. F3 · ownership.nature: Shares owned directly by Sharon Chadha, Par Chadha's spouse. F4 · ownership.nature: Par Chadha may be deemed to beneficially own shares of the Issuer owned by Sharon Chadha, his spouse, and entities owned or controlled by Par and/or Sharon Chadha. The Reporting Person disclaims beneficial ownership of any shares of the Issuer owned by such other Persons, except to the extent of her pecuniary interest therein. Read SEC document |
| September 15, 2021 Filed Sep 16, 2021 21:10 UTC | Exela Technologies, Inc. XELA · Entity 76832 | SaleCommon Stock, par value $0.0001 per share (''Common Stock'') | 100,000 | $2.06 | $206,000.00 |
DisclosureSEC source: 0001104659-21-116441 · tm2127715-1_4seq1.xml · nonDerivative · entry 1 CHADHA PAR · CIK 0000938202 · Director · Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · Director · 10% owner Adesi 234 LLC · CIK 0001712365 · Director · 10% owner hof 2 llc · CIK 0001712473 · Director · 10% owner HOVS LLC · CIK 0001712484 · Director · 10% owner HOV Services Ltd · CIK 0001712482 · Director · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · Director · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · Director · 10% owner HandsOn 3, LLC · CIK 0001741367 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,112,939 F5 · security: Shares directly owned by HOF 2. F3 · price: On September 15, 2021, pursuant to a plan of disposition adopted by HOF 2 on March 26, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "10b5-1 Plan"), HOF 2 sold 100,000 shares. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F4 · balance_after: The number of shares reported in this Form 4 account for the one-for-three Reverse Stock Split effected by the Issuer on January 25, 2021. F1 · ownership.nature: HOVS LLC, a Delaware limited liability company ("HOVS"), HandsOn Fund 4 I, LLC, a Nevada limited liability company ("HOF 4"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own shares of Exela Technologies, Inc. (the "Issuer"). HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services" and together with HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), HOVS, HOF 2 LLC, a Nevada limited liability company ("HOF 2"), HOF 4, HOV 3, and Adesi 234 LLC, a Nevada limited liability company ("Adesi"), the "HGM Group")). F2 · ownership.nature: Adesi and HOF 2 LLC together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. Mr. Par Chadha may be deemed to control HandsOn 3, LLC, a Nevada limited liability company ("HOF 3") and the HGM Group. The parties identified above and HGM may be deemed to beneficially own any shares of the Issuer owned by the entities in which they are beneficial owners. Each member of the HGM Group disclaims beneficial ownership of any shares of the Issuer owned by any other member of the HGM Group, except to the extent of its pecuniary interest therein. Solely for purposes of Section 16 of the Exchange Act, the HGM Group may be deemed to be directors-by-deputization by virtue of the HGM Group's contractual right to designate directors to the board of directors of the Issuer. For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended. Read SEC document |
| September 14, 2021 Filed Sep 16, 2021 21:10 UTC | Exela Technologies, Inc. XELA · Entity 76832 | GrantPerformance Units · Derivative | 8,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-116441 · tm2127715-1_4seq1.xml · derivative · entry 7 CHADHA PAR · CIK 0000938202 · Director · Chairman · 10% owner HOV Capital III LLC · CIK 0001712480 · Director · 10% owner Adesi 234 LLC · CIK 0001712365 · Director · 10% owner hof 2 llc · CIK 0001712473 · Director · 10% owner HOVS LLC · CIK 0001712484 · Director · 10% owner HOV Services Ltd · CIK 0001712482 · Director · 10% owner HandsOn Fund 4 I, LLC · CIK 0001712411 · Director · 10% owner HandsOn Global Management, LLC · CIK 0001712472 · Director · 10% owner HandsOn 3, LLC · CIK 0001741367 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,500,000 Underlying: Common Stock · 8,500,000 shares Expires not disclosed F10 · derivative.exercise_price: Represents the economic equivalent of one share of Company common stock, which shall be settled in cash to Par Chadha; provided, that, following approval by the Company's shareholders of an increase to the number of shares authorized for issuance under the Company's stock incentive plan, the Performance Units may be settled in cash or in Common Stock. F10 · price: Represents the economic equivalent of one share of Company common stock, which shall be settled in cash to Par Chadha; provided, that, following approval by the Company's shareholders of an increase to the number of shares authorized for issuance under the Company's stock incentive plan, the Performance Units may be settled in cash or in Common Stock. F11 · derivative.exercise_date: The vested Performance Units shall settle on a date selected by the Company within 30 days following the applicable vesting date. One half of the Performance Units shall vest on the first day prior to June 30, 2024 on which either the volume weighted average of the reported closing prices of the Common Stock ("VWAP") is $10 per share (as equitably adjusted) or greater on 60 consecutive trading days following the date of the grant or the VWAP is $10 per share (as equitably adjusted) or greater on 90 non-consecutive trading days in any period of one hundred and 180 days following the date of the grant. The second half of the Performance Units shall vest on the first day prior to June 30, 2025 on which either the VWAP is $20 per share (as equitably adjusted) or greater on 60 consecutive trading days following the date of the grant or the VWAP is $20 per share (as equitably adjusted) or greater on 90 non-consecutive trading days in any period of 180 days following the date of the grant F11 · derivative.expiration_date: The vested Performance Units shall settle on a date selected by the Company within 30 days following the applicable vesting date. One half of the Performance Units shall vest on the first day prior to June 30, 2024 on which either the volume weighted average of the reported closing prices of the Common Stock ("VWAP") is $10 per share (as equitably adjusted) or greater on 60 consecutive trading days following the date of the grant or the VWAP is $10 per share (as equitably adjusted) or greater on 90 non-consecutive trading days in any period of one hundred and 180 days following the date of the grant. The second half of the Performance Units shall vest on the first day prior to June 30, 2025 on which either the VWAP is $20 per share (as equitably adjusted) or greater on 60 consecutive trading days following the date of the grant or the VWAP is $20 per share (as equitably adjusted) or greater on 90 non-consecutive trading days in any period of 180 days following the date of the grant Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.