0000950142-19-001279.txt : 20190604
0000950142-19-001279.hdr.sgml : 20190604
20190604174945
ACCESSION NUMBER: 0000950142-19-001279
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190531
FILED AS OF DATE: 20190604
DATE AS OF CHANGE: 20190604
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Novak E Rogers JR
CENTRAL INDEX KEY: 0001292028
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36166
FILM NUMBER: 19877910
MAIL ADDRESS:
STREET 1: 7501 WISCONSIN AVENUE
STREET 2: EAST TOWER SUITE 1380
CITY: BETHESDA
STATE: MD
ZIP: 20814
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Houghton Mifflin Harcourt Co
CENTRAL INDEX KEY: 0001580156
STANDARD INDUSTRIAL CLASSIFICATION: BOOKS: PUBLISHING OR PUBLISHING AND PRINTING [2731]
IRS NUMBER: 271566372
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 125 HIGH STREET
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 617-351-5000
MAIL ADDRESS:
STREET 1: 125 HIGH STREET
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: HMH Holdings (Delaware), Inc.
DATE OF NAME CHANGE: 20130626
4
1
es1900765_4-novak.xml
OWNERSHIP DOCUMENT
X0306
4
2019-05-31
0
0001580156
Houghton Mifflin Harcourt Co
HMHC
0001292028
Novak E Rogers JR
C/O HOUGHTON MIFFLIN HARCOURT CO.,
125 HIGH STREET
BOSTON
MA
02110
1
0
0
0
Common Stock
2019-05-31
4
M
0
4942
0.00
A
22989
D
Phantom Stock
2019-05-31
4
M
0
4942
0.00
D
Common Stock
4942
0
D
Restricted Stock Units
2019-05-31
4
A
0
15071
0.00
A
Common Stock
15071
15071
D
Restricted Stock Units
2019-05-31
4
M
0
12500
0.00
D
Common Stock
12500
0
D
Phantom Stock
2019-05-31
4
A
0
12500
0.00
A
Common Stock
12500
12500
D
Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock.
The shares of phantom stock were settled in exchange for a like amount of shares of the Company's common stock.
This grant of restricted stock units will vest on May 31, 2020, subject to continued service on the Company's board of directors through such vesting date, with settlement of the restricted stock units to be deferred until separation from service after the vesting date, as determined in accordance with the Company's Non-Employee Director Deferred Compensation Plan.
Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan.
William F. Bayers is the Executive Vice President, Secretary and General Counsel of the Company.
/s/ William F. Bayers, Attorney-in-Fact
2019-06-04