Filing Details
- Accession Number:
- 0001209191-21-018188
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-05 16:18:52
- Reporting Period:
- 2021-03-03
- Accepted Time:
- 2021-03-05 16:18:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1580156 | Houghton Mifflin Harcourt Co | HMHC | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1253483 | Michael Dolan | Houghton Mifflin Harcourt 125 High Street Boston MA 02110 | Svp, Controller | 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 | 2021-03-03 | 9,615 | $0.00 | 70,196 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-04 | 4,270 | $6.03 | 65,926 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2021-03-03 | 9,615 | $0.00 | 9,615 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 19,230 | No | 4 | M | Direct |
Footnotes
- 9,615 restricted stock units held by Mr. Dolan vested on March 3, 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 4,270 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.8544 to $6.0403, inclusive. The Reporting Person undertakes to provide to the Company, any of the Company's security holders, 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 above range.
- Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
- The remaining restricted stock units shall vest on March 3, 2022 and March 3, 2023, subject to continued employment with the Company.
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