Filing Details
- Accession Number:
- 0001140361-15-026090
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-06-30 19:00:46
- Reporting Period:
- 2015-06-26
- Filing Date:
- 2015-06-30
- Accepted Time:
- 2015-06-30 19:00:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1300650 | Lynn Anthony Davis | 610 Broadway 6Th Floor New York NY 10012 | Yes | No | Yes | No | |
| 1300710 | Michael Kevin Ulrich | 610 Broadway 6Th Floor New York NY 10012 | Yes | No | Yes | No | |
| 1300711 | Anchorage Advisors Management, Llc | 610 Broadway 6Th Floor New York NY 10012 | Yes | No | Yes | No | |
| 1300713 | Anchorage Capital Master Offshore, Ltd | 610 Broadway 6Th Floor New York NY 10012 | Yes | No | Yes | No | |
| 1300714 | Anchorage Capital Group, L.l.c. | 610 Broadway 6Th Floor New York NY 10012 | No | No | Yes | 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, $0.01 Par Value Per Share | Acquisiton | 2015-06-26 | 17,272 | $21.14 | 427,067 | No | 4 | X | Indirect | By Anchorage Illiquid Opportunities Offshore Master, L.P. |
| Common Stock, $0.01 Par Value Per Share | Acquisiton | 2015-06-26 | 4,376 | $21.14 | 140,974 | No | 4 | X | Indirect | By Anchorage Illiquid Opportunities Offshore Master II, L.P. |
| Common Stock, $0.01 Par Value Per Share | Acquisiton | 2015-06-26 | 4,254 | $21.14 | 759,845 | No | 4 | X | Indirect | By GRF Master Fund II, L.P. |
| Common Stock, $0.01 Par Value Per Share | Disposition | 2015-06-26 | 13,942 | $26.19 | 413,125 | No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master, L.P. |
| Common Stock, $0.01 Par Value Per Share | Disposition | 2015-06-26 | 3,533 | $26.19 | 137,441 | No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master II, L.P. |
| Common Stock, $0.01 Par Value Per Share | Disposition | 2015-06-26 | 3,434 | $26.19 | 756,411 | No | 4 | S | Indirect | By GRF Master Fund II, L.P. |
| Common Stock, $0.01 Par Value Per Share | Disposition | 2015-06-26 | 413,125 | $25.66 | 0 | No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master, L.P. |
| Common Stock, $0.01 Par Value Per Share | Disposition | 2015-06-26 | 137,441 | $25.66 | 0 | No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master II, L.P. |
| Common Stock, $0.01 Par Value Per Share | Disposition | 2015-06-26 | 756,411 | $25.66 | 0 | No | 4 | S | Indirect | By GRF Master Fund II, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Indirect | By Anchorage Illiquid Opportunities Offshore Master, L.P. |
| No | 4 | X | Indirect | By Anchorage Illiquid Opportunities Offshore Master II, L.P. |
| No | 4 | X | Indirect | By GRF Master Fund II, L.P. |
| No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master, L.P. |
| No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master II, L.P. |
| No | 4 | S | Indirect | By GRF Master Fund II, L.P. |
| No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master, L.P. |
| No | 4 | S | Indirect | By Anchorage Illiquid Opportunities Offshore Master II, L.P. |
| No | 4 | S | Indirect | By GRF Master Fund II, L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 Par Value Per Share | Common Stock Warrants (right to buy) | Disposition | 2015-06-26 | 8,636 | $0.00 | 17,272 | $21.14 |
| Common Stock, $0.01 Par Value Per Share | Common Stock Warrants (right to buy) | Disposition | 2015-06-26 | 2,188 | $0.00 | 4,376 | $21.14 |
| Common Stock, $0.01 Par Value Per Share | Common Stock Warrants (right to buy) | Disposition | 2015-06-26 | 2,127 | $0.00 | 4,254 | $21.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-06-22 | 2019-06-22 | No | 4 | X | Indirect |
| 0 | 2012-06-22 | 2019-06-22 | No | 4 | X | Indirect |
| 0 | 2012-06-22 | 2019-06-22 | No | 4 | X | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.01 Par Value Per Share | 19,330,830 | Indirect | By Anchorage Capital Master Offshore, Ltd. |
| Common Stock, $0.01 Par Value Per Share | 622,320 | Indirect | By Anchorage Illiquid Opportunities Offshore Master III, L.P. |
| Common Stock, $0.01 Par Value Per Share | 134,740 | Indirect | By PCI Fund LLC |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.001 Per Share | Common Stock Warrants (right to buy) | $21.14 | 2012-06-22 | 2019-06-22 | 414,392 | 207,696 | Indirect |
| Common Stock, Par Value $0.001 Per Share | Common Stock Warrants (right to buy) | $21.14 | 2012-06-22 | 2019-06-22 | 8,212 | 4,106 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-06-22 | 414,392 | 207,696 | Indirect |
| 2019-06-22 | 8,212 | 4,106 | Indirect |
Footnotes
- Anchorage Advisors Management, L.L.C. is the sole managing member of Anchorage Capital Group, L.L.C., the investment advisor to each of Anchorage Capital Master Offshore, Ltd., Anchorage Illiquid Opportunities Offshore Master, L.P., Anchorage Illiquid Opportunities Offshore Master II, L.P., Anchorage Illiquid Opportunities Offshore Master III, L.P., GRF Master Fund II, L.P., and PCI Fund LLC. Mr. Davis is the President of Anchorage Capital Group, L.L.C. and a managing member of Anchorage Advisors Management, L.L.C. Mr. Ulrich is the Chief Executive Officer of Anchorage Capital Group, L.L.C. and the other managing member of Anchorage Advisors Management, L.L.C.
- Each reporting person disclaims beneficial ownership of the reported securities except to the extent, if any, of its or his pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- Each of Anchorage Illiquid Opportunities Offshore Master, L.P., Anchorage Illiquid Opportunities Offshore Master II, L.P. and GRF Master Fund II, L.P. is in the process of selling or otherwise resolving investments in preparation for the formal liquidation of such investment funds pursuant to their governing documents and the transactions reported herein were effected in connection with such processes.
- These shares were used to pay the exercise price for the warrant exercises on June 26, 2015 on a cashless basis, with fractional shares paid out in cash.
- There were no reportable transactions in the shares or warrants held for the accounts of each of Anchorage Capital Master Offshore, Ltd., Anchorage Illiquid Opportunities Offshore Master III, L.P., and PCI Fund LLC.
- Each one (1) warrant entitles the holder to purchase two (2) shares of common stock.
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