SEC Form 4 · accession 0000950142-15-002302
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Lon Cannon
Officer — See remarks.
Period of report
Oct 28, 2015
Accepted (ET)
Oct 29, 2015 · 5:34 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 28, 2015 | M | 15,000 | $12.50 | A | 27,567 | D | |
| Common Stock | Oct 28, 2015 | S | 15,000 | $20.00 | D | 12,567 | 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 28, 2015 | M | 15,000 | D | — | Jun 22, 2019 | Common Stock | 15,000 | 217,017 | 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
Executive Vice President, HMH International Operations and Global Strategic Alliances. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.