Filing Details
- Accession Number:
- 0000950142-15-000118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-01-21 16:24:03
- Reporting Period:
- 2015-01-16
- Filing Date:
- 2015-01-21
- Accepted Time:
- 2015-01-21 16:24:03
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1580156 | Houghton Mifflin Harcourt Co | HMHC | Books: Publishing Or Publishing & Printing (2731) | 271566372 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1585800 | Lon Eric Shuman | C/O Houghton Mifflin Harcourt Co., 222 Berkeley Street Boston MA 02116 | See Remarks. | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2015-01-16 | 18,633 | $12.50 | 29,999 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-01-16 | 18,633 | $19.05 | 11,366 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2015-01-20 | 18,367 | $12.50 | 29,733 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-01-20 | 18,367 | $19.84 | 11,366 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-01-16 | 18,633 | $0.00 | 18,633 | $12.50 |
Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-01-20 | 18,367 | $0.00 | 18,367 | $12.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,359,795 | 2019-06-22 | No | 4 | M | Direct | |
1,341,428 | 2019-06-22 | No | 4 | M | Direct |
Footnotes
- These shares were sold pursuant to a Rule 10b5-1 trading plan.
- The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $18.97 to $19.23. Upon request of the staff of the Securities and Exchange Commission, Houghton Mifflin Harcourt Company (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.
- The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $19.71 to $20.16. Upon request of the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.
- 50% of this grant of employee stock options has vested and is currently exercisable. The remaining stock options vest in two equal installments on June 22, 2015 and June 22, 2016, subject to continued employment with the Company.