SEC Form 4/A · accession 0000950142-16-004066
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
Michael Dolan
Officer — See remarks.
Period of report
Jan 31, 2016
Accepted (ET)
Jul 7, 2016 · 3:40 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 StockF1,F2 | Jan 31, 2016 | M | 694 | $0.00 | A | 1,372 | D | |
| Common Stock | Jan 31, 2016 | F | 262 | $17.84 | D | 1,110 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1694 restricted stock units held by the reporting person vested on January 31, 2016 and were settled in exchange for a like amount of shares of Houghton Mifflin Harcourt Company's (the "Company") common stock, subject to the Company's withholding of 262 shares of common stock to satisfy withholding obligations in connection with federal, state, local or other taxes required to be withheld or paid in connection with the settlement of the restricted stock units.
- F2This amendment is being filed to reflect the fact that the amount of securities beneficially owned by the reporting person includes 247 shares acquired under the Company's Employee Stock Purchase Plan effective as of December 31, 2015.
Remarks
Senior Vice President and Corporate Controller. The reporting person serves as the Company's Principal Accounting Officer. However, the reporting person is not an "executive officer" for purposes of the Securities Exchange Act of 1934, as amended or the rules promulgated thereunder.