Evans Michael Edmund's Form 4 filing
Houghton Mifflin Harcourt Co (HMHC) · filed Nov 9, 2021
- Accession no.
- 0001209191-21-063620
- Filed
- Nov 9, 2021
- Trade date
- Nov 5-8, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $39.0K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Evans Michael EdmundCIK 0001787748 | Officer (EVP, Chief Revenue Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Common Stock | MOption exerciseAcquired | +5,930 | $0.00F1 | $0 | 33,297 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −2,229 | $17.50 | −$39,007.5 | 31,068 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Common Stock | MOption exerciseDisposed | −5,930 | $0.00 | $0 | 5,930 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
5,930 restricted stock units held by Mr. Evans vested on November 5, 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 2,229 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.
Referenced by the price of 1 transaction in Table I.
Remarks
William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.