SEC Form 4 · accession 0000950142-16-003212
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brook Mickey Colangelo
Officer — See remarks.
Period of report
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 6:53 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 26, 2016 | M | 390 | $13.48 | A | 37,818 | D | |
| Common Stock | Feb 26, 2016 | S | 390 | $19.00 | D | 37,428 | D | |
| Common Stock | Feb 29, 2016 | M | 6,400 | $13.48 | A | 43,828 | D | |
| Common Stock | Feb 29, 2016 | S | 6,400 | $19.00 | D | 37,428 | D | |
| Common Stock | Feb 29, 2016 | S | 206 | $19.00 | D | 37,222 | D | |
| Common Stock | Mar 1, 2016 | M | 1,544 | $13.48 | A | 38,766 | D | |
| Common Stock | Mar 1, 2016 | S | 1,544 | $19.00 | D | 37,222 | 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 | $13.48 | Feb 26, 2016 | M | 390 | D | — | Jul 25, 2020 | Common Stock | 390 | 96,278 | D |
| Employee Stock Option (Right to Buy)F2 | $13.48 | Feb 29, 2016 | M | 6,400 | D | — | Jul 25, 2020 | Common Stock | 6,400 | 89,878 | D |
| Employee Stock Option (Right to Buy)F2 | $13.48 | Mar 1, 2016 | M | 1,544 | D | — | Jul 25, 2020 | Common Stock | 1,544 | 88,334 | 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 Technology Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.