SEC Form 4 · accession 0000950142-16-003575
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda Kay Zecher
Officer — See remarks. · Director
Period of report
Apr 20, 2016
Accepted (ET)
Apr 22, 2016 · 11:39 am 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 | Apr 20, 2016 | M | 13,433 | $12.50 | A | 209,641 | D | |
| Common Stock | Apr 20, 2016 | S | 13,433 | $21.00 | D | 196,208 | 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 | Apr 20, 2016 | M | 13,433 | D | — | Jun 22, 2019 | Common Stock | 13,433 | 2,285,143 | 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
President and Chief Executive Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.