Filing Details

Accession Number:
0001209191-21-016356
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-03-02 17:40:29
Reporting Period:
2021-02-27
Accepted Time:
2021-03-02 17:40:29
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
1716892 Amy Dunkin C/O Houghton Mifflin Harcourt
125 High Street
Boston MA 02110
Evp, General Manager, Services 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 2021-02-27 5,715 $0.00 23,613 No 4 M Direct
Common Stock Disposition 2021-03-01 2,753 $6.24 20,860 No 4 S Direct
Common Stock Acquisiton 2021-02-27 6,938 $0.00 27,798 No 4 A Direct
Common Stock Disposition 2021-03-01 3,341 $6.24 24,457 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 A 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 2021-02-27 5,715 $0.00 5,715 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
Footnotes
  1. 5,715 restricted stock units held by Ms. Dunkin vested on February 27, 2021 and were settled in exchange for a like amount of shares of Houghton Mifflin Harcourt Company's (the "Company") common stock, subject to the sale of 2,753 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. 6,938 performance stock units held by Ms. Dunkin vested on February 27, 2021 and were settled in exchange for a like amount of shares of Company common stock, subject to the sale of 3,341 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.
  3. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.