SEC Form 4 · accession 0000950142-16-003207
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary Johanna Cullinane
Officer — See remarks.
Period of report
Feb 25, 2016
Accepted (ET)
Feb 29, 2016 · 6:27 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 | Feb 25, 2016 | M | 15,000 | $12.50 | A | 64,793 | D | |
| Common Stock | Feb 25, 2016 | S | 15,000 | $18.00 | D | 49,793 | 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 | Feb 25, 2016 | M | 15,000 | D | — | Jun 22, 2019 | Common Stock | 15,000 | 94,357 | 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 and Chief Content Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.