Filing Details

Accession Number:
0000950142-20-000921
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2020-03-26 15:58:26
Reporting Period:
2020-02-27
Accepted Time:
2020-03-26 15:58:26
Original Submission Date:
2020-03-02
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1580156 Houghton Mifflin Harcourt Co HMHC Books: Publishing Or Publishing & Printing (2731) 271566372
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1585194 Frederick William Bayers C/O Houghton Mifflin Harcourt Co.,
125 High Street
Boston MA 02110
See Remarks. No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-02-27 10,476 $0.00 45,436 No 4 M Direct
Common Stock Acquisiton 2020-02-28 9,654 $0.00 55,090 No 4 M Direct
Common Stock Acquisiton 2020-02-28 11,336 $0.00 66,426 No 4 M Direct
Common Stock Acquisiton 2020-03-05 9,462 $0.00 75,888 No 4 M Direct
Common Stock Disposition 2020-03-05 6,586 $4.65 69,302 No 4 S Direct
Common Stock Disposition 2020-03-05 5,681 $4.65 63,621 No 4 S Direct
Common Stock Disposition 2020-03-05 6,068 $4.65 57,553 No 4 S Direct
Common Stock Disposition 2020-03-11 5,239 $4.02 52,314 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2020-02-27 10,476 $0.00 10,476 $0.00
Common Stock Restricted Stock Units Disposition 2020-02-28 9,654 $0.00 9,654 $0.00
Common Stock Restricted Stock Units Disposition 2020-03-05 9,462 $0.00 9,462 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,477 No 4 M Direct
0 No 4 M Direct
18,925 No 4 M Direct
Footnotes
  1. 10,476 restricted stock units held by Mr. Bayers vested on February 27, 2020 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 sale of 6,586 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.
  2. 9,654 restricted stock units held by Mr. Bayers vested on February 28, 2020 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 sale of 5,681 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.
  3. 11,336 performance stock units held by Mr. Bayers vested on February 28, 2020 and were settled in exchange for a like amount of shares of the Company's common stock, subject to the Company's sale of 6,068 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 performance stock units.
  4. 9,462 restricted stock units held by Mr. Bayers vested on March 5, 2020 and were settled in exchange for a like amount of shares of the Company?s common stock, subject to the Company?s sale of 5,239 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.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.63 to $4.97, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (5), (6), (7) and (8) to this Form 4.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.63 to $4.99, inclusive.
  7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.63 to $4.98, inclusive.
  8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.24, inclusive.
  9. Each restricted stock unit represents a contingent right to receive one share of the Company?s common stock.
  10. The remaining restricted stock unit shall vest on February 27, 2021, subject to continued employment with the Company.
  11. The remaining restricted stock unit shall vest in two equal installments on March 5, 2021 and March 5, 2022, subject to continued employment with the company.