SEC Form 4 · accession 0000950142-16-004700
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L Gordon Crovitz
Officer — See remarks. · Director
Period of report
Nov 8, 2016
Accepted (ET)
Nov 10, 2016 · 7:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001580156
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Nov 8, 2016 | A | 91,220 | A | — | — | Common Stock | 91,220 | 91,220 | D |
Explanation of responses
- F1This grant of restricted stock units shall vest on the earlier of (x) September 22, 2017; and (y) the date on which the reporting person ceases to be President and Chief Executive Officer of the Company in connection with the appointment of a successor President and Chief Executive Officer. Each restricted stock unit represents a contingent right to receive one share of common stock upon vesting.
Remarks
Interim President and Chief Executive Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.