SEC Form 4 · accession 0000950142-18-000568
Houghton Mifflin Harcourt Co · HMHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Amy Dunkin
Officer — See remarks
Period of report
Feb 28, 2018
Accepted (ET)
Mar 2, 2018 · 8:39 pm EST
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 | Feb 28, 2018 | M | 2,715 | $0.00 | A | 7,923 | D | |
| Common Stock | Feb 28, 2018 | F | 1,255 | $6.80 | D | 6,668 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Feb 28, 2018 | M | 2,715 | D | — | — | Common Stock | 2,715 | 5,430 | D |
Explanation of responses
- F12,715 restricted stock units held by Ms. Dunkin vested on February 28, 2018 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 1,255 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.
- F2Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- F3The remaining restricted stock units shall vest in two equal installments on February 28, 2019 and February 28, 2020, subject to continued employment with the Company.
Remarks
Senior Vice President, Chief Marketing Officer. William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.