0000950142-17-001171.txt : 20170602 0000950142-17-001171.hdr.sgml : 20170602 20170602190942 ACCESSION NUMBER: 0000950142-17-001171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170531 FILED AS OF DATE: 20170602 DATE AS OF CHANGE: 20170602 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Napack Brian A. CENTRAL INDEX KEY: 0001561631 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36166 FILM NUMBER: 17889561 MAIL ADDRESS: STREET 1: C/O EDUCATION MANAGEMENT CORPORATION STREET 2: 210 SIXTH AVENUE, 33RD FLOOR CITY: PITTSBURGH STATE: PA ZIP: 15222 4 1 es1700705_4-napack.xml OWNERSHIP DOCUMENT X0306 4 2017-05-31 0 0001580156 Houghton Mifflin Harcourt Co HMHC 0001561631 Napack Brian A. C/O HOUGHTON MIFFLIN HARCOURT CO., 125 HIGH STREET BOSTON MA 02110 1 0 0 0 Restricted Stock Units 2017-05-31 4 M 0 5239 0.00 D Common Stock 5239 0 D Phantom Stock 2017-05-31 4 A 0 5239 0.00 A Common Stock 5239 5239 D Restricted Stock Units 2017-05-31 4 A 0 6883 0.00 A Common Stock 6883 6883 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. Upon the vesting of the restricted stock units granted to the reporting person on August 9, 2016, the reporting person deferred the receipt of 5,239 shares of common stock and received instead 5,239 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable on May 31, 2019 (or, upon separation from service, at such earlier settlement date determined in accordance with the Company's Non-Employee Director Deferred Compensation Plan). This grant of restricted stock units will vest on May 31, 2018, 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 May 31, 2020 (or, upon separation from service after the vesting date, such earlier settlement date determined 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 2017-06-02