SEC Form 4 · accession 0000905148-19-000421
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Kevin Michael Ulrich
10% Owner
Anchorage Advisors Management, LLC
10% Owner
Anchorage Capital Group, L.L.C.
10% Owner
Period of report
Mar 7, 2019
Accepted (ET)
Mar 8, 2019 · 4:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001580156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par value per shareF3,F1,F2 | Mar 7, 2019 | S | 622,320 | $7.75 | D | 0 | I | By Anchorage Illiquid Opportunities Offshore Master III, L.P. |
| Common Stock, $0.01 par value per shareF1,F2 | holding | — | — | — | 19,330,830 | I | By Anchorage Capital Master Offshore, Ltd. | |
| Common Stock, $0.01 par value per shareF1,F2 | holding | — | — | — | 134,740 | I | By PCI Fund LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Anchorage 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 III, L.P., and PCI Fund LLC. Mr. Ulrich is the Chief Executive Officer of Anchorage Capital Group, L.L.C. and the senior managing member of Anchorage Advisors Management, L.L.C.
- F2Each 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.
- F3Anchorage Illiquid Opportunities Offshore Master III, L.P. is in the process of selling or otherwise resolving investments in preparation for the formal liquidation pursuant to its governing documents and the transaction reported herein was effected in connection with such process.