Filing Details
- Accession Number:
- 0000950142-20-000924
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2020-03-26 16:00:03
- Reporting Period:
- 2020-02-27
- Accepted Time:
- 2020-03-26 16:00:03
- Original Submission Date:
- 2020-03-02
- 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 |
|---|---|---|---|---|---|---|---|
| 1703819 | Jr J John Lynch | C/O Houghton Mifflin Harcourt Co., 125 High Street Boston MA 02110 | See Remarks. | Yes | 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 | 2020-02-27 | 45,714 | $0.00 | 246,195 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-02-28 | 26,546 | $0.00 | 272,741 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-02-28 | 45,346 | $0.00 | 318,087 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-03-05 | 43,010 | $0.00 | 361,097 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-03-05 | 25,307 | $4.65 | 335,790 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-05 | 13,660 | $4.66 | 322,130 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-05 | 23,774 | $4.65 | 298,356 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-11 | 23,863 | $4.02 | 274,493 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2020-02-27 | 45,714 | $0.00 | 45,714 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2020-02-28 | 26,546 | $0.00 | 26,546 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2020-03-05 | 43,010 | $0.00 | 43,010 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 45,715 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 86,022 | No | 4 | M | Direct |
Footnotes
- 45,714 restricted stock units held by Mr. Lynch vested on February 27, 2020 and were settled in exchange for a like amount of shares of Houghton Mifflin Harcourt Company's (the "Company") common stock, subject to the Company's sale of 25,307 shares of common stock to satisfy withholding obligations in connection with federal, state, local or other taxes required to be withheld or paid in connection with the settlement of the restricted stock units.
- 26,546 restricted stock units held by Mr. Lynch vested on February 28, 2020 and were settled in exchange for a like amount of shares of Houghton Mifflin Harcourt Company's (the "Company") common stock, subject to the Company's sale of 13,660 shares of common stock to satisfy withholding obligations in connection with federal, state, local or other taxes required to be withheld or paid in connection with the settlement of the restricted stock units.
- 45,346 performance stock units held by Mr. Lynch vested on February 28, 2020 and were settled in exchange for a like amount of shares of the Company's common stock, subject to the Company's sale of 23,774 shares of common stock to satisfy withholding obligations in connection with federal, state, local or other taxes required to be withheld or paid in connection with the settlement of the restricted stock units.
- 43,010 restricted stock units held by Mr. Lynch vested on March 5, 2020 and were settled in exchange for a like amount of shares of the Company's common stock, subject to the Company's sale of 23,863 shares of common stock to satisfy withholding obligations in connection with federal, state, local or other taxes required to be withheld or paid in connection with the settlement of the restricted stock units.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.63 to $4.82, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (5), (6), (7) and (8) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.63 to $4.85, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.63 to $4.98, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.23, inclusive.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- The remaining restricted stock unit shall vest on February 27, 2021, subject to continued employment with the Company.
- The remaining restricted stock unit shall vest in two equal installments on March 5, 2021 and March 5, 2022, subject to continued employment with the company.
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