Filing Details
- Accession Number:
- 0001209191-21-016356
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-02 17:40:29
- Reporting Period:
- 2021-02-27
- Accepted Time:
- 2021-03-02 17:40:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1716892 | Amy Dunkin | C/O Houghton Mifflin Harcourt 125 High Street Boston MA 02110 | Evp, General Manager, Services | 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 | 2021-02-27 | 5,715 | $0.00 | 23,613 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-01 | 2,753 | $6.24 | 20,860 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-27 | 6,938 | $0.00 | 27,798 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2021-03-01 | 3,341 | $6.24 | 24,457 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | 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 | 2021-02-27 | 5,715 | $0.00 | 5,715 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct |
Footnotes
- 5,715 restricted stock units held by Ms. Dunkin vested on February 27, 2021 and were settled in exchange for a like amount of shares of Houghton Mifflin Harcourt Company's (the "Company") common stock, subject to the sale of 2,753 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.
- 6,938 performance stock units held by Ms. Dunkin vested on February 27, 2021 and were settled in exchange for a like amount of shares of Company common stock, subject to the sale of 3,341 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 performance stock units.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
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