SEC Form 4 · accession 0000950142-15-002268
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda Kay Zecher
Officer — See remarks. · Director
Period of report
Oct 20, 2015
Accepted (ET)
Oct 21, 2015 · 6:59 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 20, 2015 | M | 6,634 | $12.50 | A | 212,133 | D | |
| Common Stock | Oct 20, 2015 | S | 6,634 | $21.00 | D | 205,499 | 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 20, 2015 | M | 6,634 | D | — | Jun 22, 2019 | Common Stock | 6,634 | 2,448,576 | 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 and Chief Executive Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.