FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/12/2017 |
3. Issuer Name and Ticker or Trading Symbol
Exela Technologies, Inc. [ XELA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 31,568,750 | I | See footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. See Exhibit 99.1. |
See signatures attached as Exhibit 99.2 | 07/24/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit 99.1
(1) The shares of common stock, par value $0.0001 per share (the Common Stock) of Exela Technologies, Inc. (the Issuer) reported as beneficially owned represents the aggregate number of shares that are held of record by Novitex Parent, L.P. (Parent) and Apollo Novitex Holdings, L.P. (Novitex Holdings). Parent, Novitex Holdings and the other entities that are filing this Statement on Form 3, as described herein, are collectively referred to herein as the Reporting Persons.
Novitex Parent GP, LLC (Novitex GP) is the general partner of each of Parent and Novitex Holdings. Apollo Management VII, L.P. (Management VII) is the manager of Novitex GP, and AIF VII Management, LLC (AIF VII LLC) is the general partner of Management VII. Apollo Management, L.P. (Apollo Management) is the sole member-manager of AIF VII LLC, and Apollo Management GP, LLC (Apollo Management GP) is the general partner of Apollo Management. Apollo Management Holdings, L.P. (Management Holdings) is the sole member-manager of Apollo Management GP, and Apollo Management Holdings GP, LLC (Management Holdings GP) is the general partner of Management Holdings. Leon Black, Joshua Harris and Marc Rowan are the managers, as well as executive officers, of Apollo Management Holdings GP.
Each of Parent and Novitex Holdings disclaims beneficial ownership of any shares of the Issuers Common Stock owned of record by the other or that may be beneficially owned by any of the other Reporting Persons, and each of the other Reporting Persons, and Messrs. Black, Harris and Rowan, disclaims beneficial ownership of any shares of the Issuers Common Stock owned of record by Parent or Novitex Holdings or that may be beneficially owned by any of the other Reporting Persons, in each case except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
The principal address of each of Parent, Novitex Holdings, Novitex GP, Management VII, AIF VII LLC, Apollo Management, Management GP, Management Holdings and Management Holdings GP, and Messrs. Black, Harris and Rowan, is 9 W. 57th Street, 43rd Floor, New York, New York 10019.
Exhibit 99.2
This Statement on Form 3 is filed by: (i) Novitex Parent, L.P., (ii) Apollo Novitex Holdings, L.P., (iii) Novitex Parent GP, LLC, (iv) Apollo Management VII, L.P., (v) AIF VII Management, LLC, (vi) Apollo Management, L.P., (vii) Apollo Management GP, LLC, (VII) Apollo Management Holdings, L.P., and (ix) Apollo Management Holdings GP, LLC
Name of Designated Filer: Apollo Management Holdings GP, LLC
Date of Event Requiring Statement: July 12 2017
Issuer Name and Ticker or Trading Symbol: Exela Technologies, Inc. [XELA]
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NOVITEX PARENT, L.P. | ||
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By: |
Novitex Parent GP, LLC | |
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its general partner | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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APOLLO NOVITEX HOLDINGS, L.P. | ||
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By: |
Novitex Parent GP, LLC | |
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its general partner | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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NOVITEX PARENT GP, LLC | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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APOLLO MANAGEMENT VII, L.P. | ||
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By: |
AIF VII Management, LLC | |
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its general partner | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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AIF VII MANAGEMENT, LLC | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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APOLLO MANAGEMENT, L.P. | ||
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By: |
Apollo Management GP, LLC | |
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its general partner | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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APOLLO MANAGEMENT GP, LLC | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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APOLLO MANAGEMENT HOLDINGS, L.P. | ||
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By: |
Apollo Management Holdings GP, LLC | |
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its general partner | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |
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APOLLO MANAGEMENT HOLDINGS GP, LLC | |
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By: |
/s/ Laurie D. Medley |
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Name: |
Laurie D. Medley |
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Title: |
Vice President |