Filing Details
- Accession Number:
- 0000950142-16-002872
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-01-25 20:21:07
- Reporting Period:
- 2016-01-21
- Filing Date:
- 2016-01-25
- Accepted Time:
- 2016-01-25 20:21:07
- 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 | 2016-01-21 | 9,592 | $12.50 | 92,755 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-01-21 | 9,592 | $17.50 | 83,163 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-01-22 | 40,408 | $12.50 | 123,571 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-01-22 | 40,408 | $17.54 | 83,163 | 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 | 2016-01-21 | 9,592 | $0.00 | 9,592 | $12.50 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2016-01-22 | 40,408 | $0.00 | 40,408 | $12.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 833,836 | 2019-06-22 | No | 4 | M | Direct | |
| 793,428 | 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 $17.50 to $17.69. 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.
- These employee stock options have vested and are currently exercisable.
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