SEC Form 4 · accession 0000950142-15-000533
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Dragoon
Officer — See remarks.
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 9:41 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 StockF1 | Mar 3, 2015 | A | 12,338 | $0.00 | A | 12,567 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents grants of: (i) 3,980 shares of time-based vesting restricted stock, of which 1/3 of such grant vests (subject to continued employment) on each of the first, second and third anniversaries of the grant date; and (ii) 8,358 shares of performance-based vesting restricted stock which vests (subject to continued employment and the achievement of certain performance metrics set forth in the reporting person's award agreement) on the later of: (a) the third anniversary of the grant date; or (b) certification by the company's compensation committee that the performance metrics have been achieved.
Remarks
Executive Vice President and Chief Marketing Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.