SEC Form 4 · accession 0000950142-15-002713
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Lee Gentel
Other
Period of report
Dec 29, 2015
Accepted (ET)
Dec 30, 2015 · 4:39 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 Stock | Dec 29, 2015 | M | 43,900 | $12.50 | A | 62,859 | D | |
| Common Stock | Dec 29, 2015 | S | 10,900 | $21.50 | D | 51,959 | D | |
| Common Stock | Dec 29, 2015 | S | 11,000 | $21.50 | D | 40,959 | D | |
| Common Stock | Dec 29, 2015 | S | 11,000 | $21.50 | D | 29,959 | D | |
| Common Stock | Dec 29, 2015 | S | 11,000 | $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 | Dec 29, 2015 | M | 43,900 | D | — | Jun 22, 2019 | Common Stock | 43,900 | 131,486 | 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
Formerly President, HMH Trade Publishing. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.