SEC Form 4 · accession 0000950142-15-002238
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Lee Gentel
Officer — See remarks.
Period of report
Oct 13, 2015
Accepted (ET)
Oct 15, 2015 · 6:17 pm EDT
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 | Oct 13, 2015 | M | 100 | $12.50 | A | 19,059 | D | |
| Common Stock | Oct 13, 2015 | S | 100 | $21.50 | D | 18,959 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $12.50 | Oct 13, 2015 | M | 100 | D | — | Jun 22, 2019 | Common Stock | 100 | 175,386 | D |
Explanation of responses
- F1These shares were sold pursuant to a Rule 10b5-1 trading plan.
- F2These employee stock options have vested and are currently exercisable.
Remarks
President, HMH Trade Publishing. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.