SEC Form 4 · accession 0000950142-16-003440
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
Mar 31, 2016
Accepted (ET)
Apr 4, 2016 · 3:07 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 | Mar 31, 2016 | M | 15,000 | $12.50 | A | 27,169 | D | |
| Common Stock | Mar 31, 2016 | S | 15,000 | $20.00 | D | 12,169 | 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 | Mar 31, 2016 | M | 15,000 | D | — | Jun 22, 2019 | Common Stock | 15,000 | 142,017 | 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, Global Strategic Alliances and Office of the CEO. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.