Chadha Par's Form 4 filing
Exela Technologies, Inc. (XELA) · filed Sep 16, 2021
- Accession no.
- 0001104659-21-116441
- Filed
- Sep 16, 2021, 5:10 PM ET
- Trade date
- Sep 14-15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market sales total $206.0K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Chadha ParCIK 0000938202 | Director, Officer (Chairman), 10% Owner |
| Adesi 234 LLCCIK 0001712365 | Director, 10% Owner |
| HandsOn Fund 4 I, LLCCIK 0001712411 | Director, 10% Owner |
| HandsOn Global Management, LLCCIK 0001712472 | Director, 10% Owner |
| hof 2 llcCIK 0001712473 | Director, 10% Owner |
| HOV Capital III LLCCIK 0001712480 | Director, 10% Owner |
| HOV Services LtdCIK 0001712482 | Director, 10% Owner |
| Hovs LLCCIK 0001712484 | Director, 10% Owner |
| HandsOn 3, LLCCIK 0001741367 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 15, 2021 | Common Stock, par value $0.0001 per share (''Common Stock'') | SSaleDisposed | −100,000 | $2.06F3 | −$206,000 | 4,112,939 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2021 | Common Stock | AGrant or awardAcquired | +8,500,000 | –F10 | – | 8,500,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
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.
Referenced by the price of 1 transaction in Table I.
- F10
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.
Referenced by the price of 1 transaction in Table II.