0001104659-18-024860.txt : 20180418 0001104659-18-024860.hdr.sgml : 20180418 20180418161952 ACCESSION NUMBER: 0001104659-18-024860 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20180416 FILED AS OF DATE: 20180418 DATE AS OF CHANGE: 20180418 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HandsOn Global Management, LLC CENTRAL INDEX KEY: 0001712472 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761407 BUSINESS ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 BUSINESS PHONE: 310 857 6320 MAIL ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOVS LLC CENTRAL INDEX KEY: 0001712484 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761410 BUSINESS ADDRESS: STREET 1: 855 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 BUSINESS PHONE: 313 231 7020 MAIL ADDRESS: STREET 1: 855 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ex-Sigma LLC CENTRAL INDEX KEY: 0001712402 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761406 BUSINESS ADDRESS: STREET 1: 2701 E. GRAUWYLER ROAD CITY: IRVING STATE: TX ZIP: 75061 BUSINESS PHONE: 313 231 7020 MAIL ADDRESS: STREET 1: 2701 E. GRAUWYLER ROAD CITY: IRVING STATE: TX ZIP: 75061 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ex-Sigma 2 LLC CENTRAL INDEX KEY: 0001712366 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761414 BUSINESS ADDRESS: STREET 1: 2701 E. GRAUWLER ROAD CITY: IRVING STATE: TX ZIP: 75061 BUSINESS PHONE: 313 231 7020 MAIL ADDRESS: STREET 1: 2701 E. GRAUWLER ROAD CITY: IRVING STATE: TX ZIP: 75061 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOV Services Ltd CENTRAL INDEX KEY: 0001712482 STATE OF INCORPORATION: K7 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761409 BUSINESS ADDRESS: STREET 1: 3RD FLOOR SHARDA ARCADE STREET 2: PUNE SATARA RD. BIBWEWADI CITY: PUNE STATE: K7 ZIP: 411037 BUSINESS PHONE: 310 857 6320 MAIL ADDRESS: STREET 1: 3RD FLOOR SHARDA ARCADE STREET 2: PUNE SATARA RD. BIBWEWADI CITY: PUNE STATE: K7 ZIP: 411037 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adesi 234 LLC CENTRAL INDEX KEY: 0001712365 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761412 BUSINESS ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 BUSINESS PHONE: 310 857 6320 MAIL ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HandsOn Fund 4 I, LLC CENTRAL INDEX KEY: 0001712411 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761408 BUSINESS ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 BUSINESS PHONE: 310 857 6320 MAIL ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: hof 2 llc CENTRAL INDEX KEY: 0001712473 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761411 BUSINESS ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 BUSINESS PHONE: 310 857 6320 MAIL ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-452 CITY: LAS VEGAS STATE: NV ZIP: 89117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOV Capital III LLC CENTRAL INDEX KEY: 0001712480 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36788 FILM NUMBER: 18761413 BUSINESS ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-45 CITY: LAS VEGAS STATE: NV ZIP: 89117 BUSINESS PHONE: 310 857 6320 MAIL ADDRESS: STREET 1: 8550 WEST DESERT INN ROAD STREET 2: SUITE 102-45 CITY: LAS VEGAS STATE: NV ZIP: 89117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Exela Technologies, Inc. CENTRAL INDEX KEY: 0001620179 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 471347291 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12935 N. FORTY DRIVE, SUITE 201 CITY: ST. LOUIS STATE: MO ZIP: 63141 BUSINESS PHONE: 314-548-6200 MAIL ADDRESS: STREET 1: 12935 N. FORTY DRIVE, SUITE 201 CITY: ST. LOUIS STATE: MO ZIP: 63141 FORMER COMPANY: FORMER CONFORMED NAME: Quinpario Acquisition Corp. 2 DATE OF NAME CHANGE: 20140922 4 1 a4.xml 4 X0306 4 2018-04-16 0 0001620179 Exela Technologies, Inc. XELA 0001712366 Ex-Sigma 2 LLC 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712480 HOV Capital III LLC 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712365 Adesi 234 LLC 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712473 hof 2 llc 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712484 HOVS LLC 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712482 HOV Services Ltd 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712411 HandsOn Fund 4 I, LLC 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712472 HandsOn Global Management, LLC 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 0001712402 Ex-Sigma LLC 8550 WEST DESERT INN ROAD, SUITE 102-452 LAS VEGAS NV 89117 1 0 1 0 Common Stock, par value $0.0001 per share (''Common Stock'') 2018-04-16 4 S 0 7000000 4.69 D 77912500 D Common Stock 1250000 D Common Stock 2018-04-16 4 S 0 7000000 4.69 D 79162500 I See Footnotes Series A Convertible Preferred Stock Common Stock 3263473 2669233 D Series A Convertible Preferred Stock Common Stock 3263473 2669233 I See Footnotes Ex-Sigma 2 LLC, a Delaware limited liability company ("Ex Sigma 2"), directly owns the following securities of the Issuer: (a) 77,912,500 shares of Common Stock and (b) 2,669,233 shares of Preferred Stock. HandsOn Global Management, LLC, a Delaware limited liability company ("HGM"), directly owns 1,250,000 shares of Common Stock. Ex-Sigma 2 is a wholly-owned subsidiary of 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"), and HOV Capital III, LLC, a Nevada limited liability company ("HOV 3") each directly own equity interests in Ex-Sigma. HOVS is a wholly-owned subsidiary of HOV Services Ltd., an Indian limited company ("HOV Services"). Adesi 234 LLC, a Nevada limited liability company ("Adesi"), and HOF 2 LLC, a Nevada limited liability company ("HOF 2" and together with Ex-Sigma, Ex Sigma 2, HGM, HOVS, HOV Services, HOF 4, HOV 3, and Adesi, the "HGM Group") together own a majority of HOF 4. Adesi and HOF 2, own a majority of the equity interests of HOV 3. By reason of Rule 13d-3 of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act"), the direct and indirect equity owners in Ex Sigma 2 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. Ex-Sigma 2 owns 2,669,233 shares of Series A Convertible Preferred Stock. Each share of Series A Convertible Preferred Stock is convertible into the number of shares of Common Stock equal to the Applicable Conversion Rate (as defined in the Issuer's Certificate of Designations, Preferences, Rights and Limitations of Series A Perpetual Convertible Preferred Stock (the "Certificate of Designation")) in effect as of the date of such conversion. The initial Applicable Conversion Rate is 1.2226 shares of Common Stock for each share of Preferred Stock, which rate will increase following the third anniversary of the date of issue, (x) at the election of the holder, or (y) at the election of the Company from and after the time that the weighted average price of the Common Stock equals or exceeds $24 for at least 5 consecutive days on which trading in the Common Stock generally occurs on the Nasdaq Stock Market. The shares of Series A Convertible Preferred Stock have no expiration date. 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 (the "Board"). For purposes of the exemption under Rule 16b-3 promulgated under the Securities Exchange Act of 1934, as amended, the Board approved the acquisition of any direct or indirect pecuniary interest of any and all shares of the Issuer by each member of the HGM Group as a result of or in connection with the Merger, the PIPE Investment and/or the Reinvestment. These shares were sold by the reporting person as a selling stockholder pursuant to an underwritten public offering by the Issuer. The offering closed on April 16, 2018. The reported sale price reflects the price at which the reporting person sold shares to the underwriters Exhibit List: Exhibit 99.2 - Joint Filers' Names and Addresses Exhibit 99.3 - Joint Filers' Signatures Ex-Sigma 2 LLC By: /s/ James Reynolds Name: James Reynolds Title: President 2018-04-18 EX-99.2 2 ex-99d2.htm EX-99.2

Exhibit 99.2

 

Joint Filers’ Names and Addresses

 

1. HOV Capital III LLC

 

2. Adesi 234 LLC

 

3. HOF 2 LLC

 

4. HOVS LLC

 

5. HOV Services Ltd

 

6. HandsOn Fund 4 I LLC

 

7. HandsOn Global Management, LLC

 

8. Ex-Sigma LLC

 

The business address for each of the above reporting persons is:

 

8550 West Desert Inn Road, Suite 102-452

Las Vegas, NV 89117

 

1

 EX-99.3 3 ex-99d3.htm EX-99.3

Exhibit 99.3

 

JOINT FILERS’ SIGNATURES

 

HOV CAPITAL III LLC

 

 

 

 

By:

/s/ Par Chadha

 

Name:

Par Chadha

 

Title:

Manager

 

 

 

 

 

 

ADESI 234 LLC

 

 

 

 

 

By:

/s/ Par Chadha

 

Name:

Par Chadha

 

Title:

Manager

 

 

 

 

 

 

HOF 2 LLC

 

 

 

 

 

By:

/s/ Par Chadha

 

Name:

Par Chadha

 

Title:

Manager

 

 

 

 

 

 

 

HOVS LLC

 

 

 

 

 

 

By:

/s/ James Reynolds

 

Name:

James Reynolds

 

Title:

Manager

 

 

1


 

HOV SERVICES LTD

 

 

 

 

 

By:

/s/ Vik Negi

 

Name:

Vik Negi

 

Title:

Director

 

 

 

 

 

 

HANDSON FUND 4 I LLC

 

 

 

 

 

By:

/s/ Par Chadha

 

Name:

Par Chadha

 

Title:

Manager

 

 

 

 

 

HANDSON GLOBAL MANAGEMENT, LLC

 

 

 

 

 

By:

/s/ Par Chadha

 

Name:

Par Chadha

 

Title:

Manager

 

 

 

 

 

EX-SIGMA LLC

 

 

 

 

 

By:

/s/ James Reynolds

 

Name:

James Reynolds

 

Title:

President

 

 

2