SEC Form 4/A · accession 0000950142-15-002533
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Brook Mickey Colangelo
Officer — See remarks.
Period of report
Jul 28, 2015
Accepted (ET)
Dec 2, 2015 · 11:51 am 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 | Jul 28, 2015 | M | 1,668 | $12.50 | A | 38,889 | D | |
| Common Stock | Jul 28, 2015 | M | 2,498 | $13.48 | A | 41,387 | 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 | Jul 28, 2015 | M | 1,668 | D | — | Jan 7, 2020 | Common Stock | 1,668 | 20,000 | D |
| Employee Stock Option (Right to Buy)F2 | $13.48 | Jul 28, 2015 | M | 2,498 | D | — | Jul 25, 2020 | Common Stock | 2,498 | 117,502 | D |
Explanation of responses
- F1This amendment is being filed to reflect the fact that the 4,166 shares sold by the reporting person on July 28, 2015 (as reported on the Form 4 filed by the reporting person on July 30, 2015) were acquired by the reporting person as a result of the exercise of options from two separate grants (with different strike prices) rather than a single grant, as was previously reported. This amendment also amends the other line items in the previously filed Form 4 affected by this correction.
- F2These employee stock options have vested and are currently exercisable.
Remarks
Executive Vice President and Chief Information Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.