SEC Form 4/A · accession 0000950142-16-003739
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Mary Johanna Cullinane
Officer — See remarks.
Period of report
Mar 3, 2016
Accepted (ET)
May 16, 2016 · 7:10 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 3, 2016 | M | 12,486 | $12.50 | A | 62,279 | D | |
| Common Stock | Mar 3, 2016 | M | 2,514 | $13.48 | A | 64,793 | 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 | Mar 3, 2016 | M | 12,486 | D | — | Jun 22, 2019 | Common Stock | 12,486 | 81,871 | D |
| Employee Stock Option (Right to Buy)F2 | $13.48 | Mar 3, 2016 | M | 2,514 | D | — | Jul 25, 2020 | Common Stock | 2,514 | 243,099 | D |
Explanation of responses
- F1This amendment is being filed to reflect the fact that the 15,000 shares sold by the reporting person on March 3, 2016 (as reported on the Form 4 filed by the reporting person on March 7, 2016) were acquired by the reporting person as a result of the exercise of options from two separate grants (with different strike prices) rather than a single grant, as was previously reported. This amendment also amends the other line items in the previously filed Form 4 affected by this correction.
- 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.