Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
What is insider trading>>
CUSIP No. 30162V102 |
SCHEDULE 13D
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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13D |
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Under the Securities Exchange Act of 1934
(Amendment No. 11)*
Exela Technologies, Inc.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
30162V102
(CUSIP Number)
Andrej Jonovic
HandsOn Global Management
8550 West Desert Inn Road, Suite 102-452
Las Vegas, Nevada 89117
(844) 935-2832
With a copy to:
Maurice M. Lefkort
Willkie Farr & Gallagher LLP
787 Seventh Avenue
New York, New York 10019
212-728-8000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
March 23, 2020
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this statement on Schedule 13D (this Schedule 13D), and is filing this schedule 13D because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 3,216,051 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the distributees of Ex-Sigma 2 LLC, plus 71,898 shares of Common Stock issuable upon settlement of restricted stock units held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 3,216,051 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the distributees of Ex-S igma 2 LLC, plus 71,898 shares of Common Stock issuable upon settlement of restricted stock units held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 1,498,971 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 67,104 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 67,104 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 137,661 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
| |||||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
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|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30 , 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 146,571 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 144,973 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
| |||||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
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|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person |
|||||
| |||||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 140,318 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 134,210 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations plus 12,830 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Person.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 71,948 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 35,162 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 67,778 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations plus 17,544 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 4,473 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
|
|
| |||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations plus 21,806 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
| |||||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 140,318 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
| |||||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 71,948 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
| |||||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 5,238 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
| |||||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
| |||||||
|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
| |||||||
|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 3,224 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
|
SCHEDULE 13D |
| |||||
| |||||||
|
1 |
Name of Reporting Persons | |||||
| |||||||
|
2 |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3 |
SEC Use Only | |||||
| |||||||
|
4 |
Source of Funds | |||||
| |||||||
|
5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6 |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7 |
Sole Voting Power | |||||
| |||||||
8 |
Shared Voting Power | ||||||
| |||||||
9 |
Sole Dispositive Power | ||||||
| |||||||
10 |
Shared Dispositive Power | ||||||
| |||||||
|
11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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|
13 |
Percent of Class Represented by Amount in Row (11) | |||||
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|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 1,538 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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|
14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 939 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 480 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 427 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 406 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 298 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 289 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 257 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 | |||||||
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SCHEDULE 13D |
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1 |
Name of Reporting Persons | |||||
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2 |
Check the Appropriate Box if a Member of a Group | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3 |
SEC Use Only | |||||
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4 |
Source of Funds | |||||
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5 |
Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) A0; o | |||||
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6 |
Citizenship or Place of Organization | |||||
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Number of |
7 |
Sole Voting Power | |||||
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8 |
Shared Voting Power | ||||||
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9 |
Sole Dispositive Power | ||||||
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10 |
Shared Dispositive Power | ||||||
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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12 |
Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o | |||||
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13 |
Percent of Class Represented by Amount in Row (11) | |||||
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14 |
Type of Reporting Person | |||||
(1) Calculations are based upon 150,698,864 shares of Common Stock of the Issuer outstanding, as of September 30, 2019, as reported in the Issuers Form 10-Q, less 4,570,734 shares of Common Stock surrendered to the Issuer pursuant to the Appraisal Adjustment Mechanism and less 641,971 shares of Common Stock surrendered to the Issuer in connection with certain withholding obligations, plus 214 shares of Common Stock issuable upon conversion of Preferred Stock of the Issuer held by the Reporting Persons.
CUSIP No. 30162V102 |
The information in this Amendment No. 11 to Schedule 13D (this Eleventh Amendment or this 13D/A) amends the Schedule 13D (the Initial Schedule 13D) filed with the U.S. Securities and Exchange Commission (the SEC) by Mr. Par Chadha, HandsOn Global Management, LLC, a Delaware limited liability company (HGM), Ex-Sigma 2 LLC, a Delaware limited liability company (Ex-Sigma 2), Ex-Sigma LLC, a Delaware limited liability company (Ex-Sigma), 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), HOV Services Ltd., an Indian limited company (HOV Services), Adesi 234 LLC, a Nevada limited liability company (Adesi), HOF 2 LLC, a Nevada limited liability company (HOF 2 and together with Mr. Chadha, Ex-Sigma, Ex-Sigma 2, HGM, HOVS, HOV Services, HOF 4, HOV 3, and Adesi, the Initial Reporting Persons) on July 24, 2017, relating to the common stock, par value $0.0001 per share (the Common Stock), of Exela Technologies, Inc. (the Issuer), as amended by Amendment No. 1 to Schedule 13D filed by the Initial Reporting Persons on April 16, 2018, Amendment No. 2 to Schedule 13D filed by the Initial Reporting Persons and HandsOn 3, LLC, a Nevada limited liability company and an affiliate of the Initial Reporting Persons (HOF 3 and together with the Initial Reporting Persons the Amended Reporting Persons) on June 20, 2018, Amendment No. 3 to Schedule 13D filed by the Amended Reporting Persons on May 28, 2019, Amendment No. 4 to Schedule 13D filed by the Amended Reporting Persons on June 26, 2019, Amendment No. 5 to Schedule 13D filed by the Amended Reporting Persons and each of SoNino LLC, The Beigam Trust, The Rifles Trust, SunRaj LLC, Pidgin Associates LLC, Andrej Jonovic, Shadow Pond LLC, Ron Cogburn, Kanwar Chadha and Surinder Rametra (together with the Amended Reporting Persons, the Second Amended Reporting Persons) on July 8, 2019, Amendment No. 6 to Schedule 13D filed by the Second Amended Reporting Persons on July 18, 2019, Amendment No. 7 to Schedule 13D filed by the Second Amended Reporting Persons on October 30, 2019, Amendment No. 8 to Schedule 13D filed by the Second Amended Reporting Persons on November 27, 2019, Amendment No. 9 to Schedule 13D filed by the Second Amended Reporting Persons and Suresh Yannamani on February 27, 2020, and Amendment No. 10 to Schedule 13D filed by the Second Amended Reporting Persons and the Voting Agreement Joining Parties on February 26, 2020 (the Prior Amendments).
This Eleventh Amendment is filed to provide additional information on entities and individuals that have joined the group pursuant to Joinders to the Voting Agreement (the Joinder to Second Voting Agreement) by and among each of Mr. Mark D Fairchild, Mr. Sanjay Kulkarni, Mr. Shrikant Sortur, Mr. Anubhav Verma, Mr. Edward J. Stephenson, Mr. Eokesh Natarajan, Mr. Matt Reynolds, Mr. Carlos Mallen, and Mr. Mark Olschanski (collectively the Second Voting Agreement Joining Parties) and certain of the Second Amended Reporting Persons (collectively, the Reporting Persons).
Item 2. Identity and Background.
Item 2 of the Schedule 13D is hereby supplemented as follows:
The principal address of Mr. Mark D Fairchild is 505 E Bethel School Road, Coppell, TX 75019. The principal occupation of Mr. Fairchild is serving as the President of Exela Smart Office. Mr. Fairchild is a citizen of the United States.
The principal address of Mr. Sanjay Kulkarni is 201 Ocean Avenue, 1705P, Santa Monica, CA 90402. The principal occupation of Mr. Kulkarni is serving as the Chief Technology Officer of the Issuer. Mr. Kulkarni is a citizen of the United States.
The principal address of Mr. Shrikant Sortur is 42579 Beechwood Drive, Sterling Heights, MI 48314. The principal occupation of Mr. Sortur is serving as the Executive Vice President, Global Finance of the Issuer. Mr. Sortur is a citizen of the United States.
The principal address of Mr. Anubhav Verma is 7970 Chase Ave, Los Angeles, CA 90045. The principal occupation of Mr. Verma is serving as the Senior Vice President, Finance of the Issuer. Mr. Verma is a citizen of India.
The principal address of Mr. Edward J. Stephenson is 3990 Pillar Road, Whitmore Lake, MI 48189. The principal occupation of Mr. Stephenson is serving as the Senior Vice President of HOV Services. Mr. Stephenson is a citizen of the United States.
The principal address of Mr. Eokesh Natarajan is 3365 Ellenboro Drive, Troy, MI 48083. The principal occupation of Mr. Natarajan is serving as the SVP, Customer Relationship Management of the Issuer. Mr. Natarajan is a citizen of the United States.
The principal address of Mr. Matt Reynolds is 679 Rivard Boulevard, Grosse Pointe, MI 48230. The principal occupation of Mr. Reynolds is serving as the Vice President, Revenue Recognition of the Issuer. Mr. Reynolds is a citizen of the United States.
The principal address of Mr. Carlos Mallen is 1307 WineCreek Court, Allen, TX 75002. The principal occupation of Mr. Mallen is serving as the Senior Vice President, Human Resources for the Americas and Europe of the Issuer. Mr. Mallen is a citizen of the United States.
The principal address of Mr. Mark Olschanski is 8530 Stonegate Drive, Northville, MI 48168. The principal occupation of Mr. Olschanski is serving as the Senior Vice President, Infrastructure Technology of the Issuer. Mr. Olschanski is a citizen of the United States.
Item 3. Source and Amount of Funds or Other Consideration.
The last sentence of Item 3 of the Schedule 13D is hereby amended and restated as follows:
Each of the Voting Agreement Joining Parties, Mr. Kulkarni, Mr. Fairchild, and Mr. Sortur received shares as equity compensation in their roles as employees of the Issuer and pursuant to distributions from other equityholders. The remainder of the Second Voting Agreement Joining Parties received shares pursuant to distributions from other equityholders.
Item 4. Purpose of the Transaction.
Item 4 of the Schedule 13D is hereby supplemented as follows:
HGM continues to believe that the Common Stock is undervalued at its current levels and is exploring means to continue to acquire increased beneficial and economic ownership of the Common Stock.
Item 5. Interest in Securities of the Issuer.
Item 5 (a)-(b) of the Schedule 13D is hereby supplemented as follows:
(a)-(b)
Mr. Kulkarni directly owns 61,904 shares of Common Stock and 1,258 shares of Preferred Stock (convertible into 1,538 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Fairchild directly owns 47,384 shares of Common Stock and 768 shares of Preferred Stock (convertible into 939 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Sortur directly owns 46,706 shares of Common Stock and 393 shares of Preferred Stock (convertible into 480 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Verma directly owns 9,021 shares of Common Stock and 349 shares of Preferred Stock (convertible into 427 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Stephenson directly owns 8,571 shares of Common Stock and 332 shares of Preferred Stock (convertible into 406 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Natarajan directly owns 6,315 shares of Common Stock and 244 shares of Preferred Stock (convertible into 298 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Reynolds directly owns 6,090 shares of Common Stock and 236 shares of Preferred Stock (convertible into 289 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Mallen directly owns 5,413 shares of Common Stock and 210 shares of Preferred Stock (convertible into 257 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
Mr. Olschanski directly owns 4,511 shares of Common Stock and 175 shares of Preferred Stock (convertible into 214 shares of Common Stock), representing beneficial ownership of less than 0.01% of the Common Stock.
The last sentences of paragraphs 16 and 17 of Item 5 (a)-(b) of the Schedule 13D are hereby amended and restated as follows:
Pursuant to the Voting Agreement, HGM may direct each of the Reporting Persons and the Voting Agreement Joining Parties on the voting of their shares, and thus may be deemed to beneficially own 74,393,234, shares of Common Stock representing 50.0% of the Common Stock.
By virtue of his control of the Reporting Persons, Mr. Chadha may be deemed to beneficially own 74,393,234 shares of Common Stock representing 50.0% of the Common Stock.
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
Item 6 of the Schedule 13D is hereby supplemented as follows:
On March 23, 2020, each of Mr. Mark D Fairchild, Mr. Sanjay Kulkarni, and Mr. Shrikant Sortur Mr. Anubhav Verma, Mr. Edward J. Stephenson, Mr. Eokesh Natarajan, Mr. Matt Reynolds, and Mr. Carlos Mallen entered into joinders to the Voting Agreement, whereby they each agreed to be bound by the terms of the Voting Agreement.
On March 24, 2020, Mr. Mark Olschanski entered in a joinder to the Voting Agreement, where he agreed to be bound by the terms of the Voting Agreement.
Item 7. Material to be Filed as Exhibits.
Exhibit 10.1: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Mark D Fairchild.
Exhibit 10.2: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Sanjay Kulkarni.
Exhibit 10.3: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Shrikant Sortur.
Exhibit 10.4: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Anubhav Verma.
Exhibit 10.5: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Edward J. Stephenson.
Exhibit 10.6: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Eokesh Natarajan.
Exhibit 10.7: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Matt Reynolds.
Exhibit 10.8: Joinder to Voting Agreement, dated March 23, 2020, by and among HGM and Mr. Carlos Mallen.
Exhibit 10.9: Joinder to Voting Agreement, dated March 24, 2020, by and among HGM and Mr. Mark Olschanski.
Exhibit 10.10: Schedule I to Voting Agreement.
Exhibit 99.1: Amended and Restated Joint Filing Agreement.
CUSIP No. 30162V102 |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this Eleventh Amendment is true, complete and correct.
Dated: March 25, 2020
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HANDSON GLOBAL MANAGEMENT, LLC | |
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By: |
/s/ Par Chadha |
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Name: Par Chadha |
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Title: Manager |
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HOVS LLC | |
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By: |
/s/ Jim Reynolds |
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Name: Jim Reynolds |
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Title: Manager |
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HANDSON FUND 4 I LLC | |
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By: |
/s/ Par Chadha |
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Name: Par Chadha |
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Title: Manager |
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HOV CAPITAL III, LLC | |
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By: |
/s/ Par Chadha |
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Name: Par Chadha |
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Title: Manager |
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HOV SERVICES LTD | |
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By: |
/s/ Vik Negi |
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Name: Vik Negi |
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Title: Director |
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ADESI 234 LLC | |
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By: |
/s/ Par Chadha |
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Name: Par Chadha |
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Title: Manager |
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HOF 2 LLC | |
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By: |
/s/ Par Chadha |
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Name: Par Chadha |
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Title: Manager |
[Signature Page to 13D/A No. 11]
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EX-SIGMA 2 LLC | |
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By: |
/s/ Jim Reynolds |
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Name: Jim Reynolds |
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Title: President |
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EX-SIGMA LLC | |
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By: |
/s/ Jim Reynolds |
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Name: Jim Reynolds |
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Title: President |
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/s/ Par Chadha | |
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Par Chadha | |
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HANDSON 3, LLC | |
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By: |
/s/ Par Chadha |
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Name: Par Chadha |
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Title: Manager |
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SONINO LLC | |
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By: |
/s/ Jim Reynolds |
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Name: Jim Reynolds |
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Title: Manager |
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BEIGAM TRUST | |
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By: |
/s/ Sarah Jonovic |
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Name: Sarah Jonovic |
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Title: Trustee |
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RIFLES TRUST | |
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p> |
By: |
/s/ Ajit Singh Chadha |
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Name: Ajit Singh Chadha |
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Title: Trustee |
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SUNRAJ LLC | |
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By: |
/s/ Sunil Rajadhyksha |
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Name: Sunil Rajadhyksha |
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Title: Manager |
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/s/ Andrej Jonovic | |
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Andrej Jonovic |
[Signature Page to 13D/A No. 11]
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SHADOW POND LLC | |
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By: |
/s/ Vik Negi |
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Name: Vik Negi |
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Title: Manager |
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/s/ Ron Cogburn | |
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Ron Cogburn | |
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/s/ Kanwar Chadha | |
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Kanwar Chadha | |
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/s/ Surinder Rametra | |
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Surinder Rametra | |
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PIDGIN ASSOCIATES LLC | |
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By: |
/s/ Xin Cheng |
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Name: Xin Cheng |
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Title: Manager |
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/s/ Suresh Yannamani | |
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Suresh Yannamani | |
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/s/ Jim Reynolds | |
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Jim Reynolds | |
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/s/ Vik Negi | |
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Vik Negi | |
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/s/ Matt Brown | |
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Matt Brown | |
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/s/ Srini Murali | |
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Srini Murali | |
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/s/ Vitalie Robu | |
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Vitalie Robu | |
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/s/ Sanjay Kulkarni | |
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Sanjay Kulkarni | |
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/s/ Mark Fairchild | |
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Mark Fairchild | |
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/s/ Shrikant Sortur | |
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Shrikant Sortur |
[Signature Page to 13D/A No. 11]
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/s/ Anubhav Verma |
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Anubhav Verma |
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/s/ Edward (Jim) Stephenson |
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Edward (Jim) Stephenson |
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/s/ Matt Reynolds |
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Matt Reynolds |
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/s/ Eokesh Natarajan |
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Eokesh Natarajan |
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/s/ Carlos Mallen |
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Carlos Mallen |
[Signature Page to 13D/A No. 11]