-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SUFO4SRJq/3on4QrmsUNblZad7Bqla+ARIZlkN6amu3pWVIQjQ0p0QF0IPc7jFbJ McAZCkohyZ/pqCc+n66CDg== 0000048638-00-000066.txt : 20000317 0000048638-00-000066.hdr.sgml : 20000317 ACCESSION NUMBER: 0000048638-00-000066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000315 FILED AS OF DATE: 20000316 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOUGHTON MIFFLIN CO CENTRAL INDEX KEY: 0000048638 STANDARD INDUSTRIAL CLASSIFICATION: BOOKS: PUBLISHING OR PUBLISHING AND PRINTING [2731] IRS NUMBER: 041456030 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-05406 FILM NUMBER: 571320 BUSINESS ADDRESS: STREET 1: 222 BERKELEY ST STREET 2: 5TH FL CITY: BOSTON STATE: MA ZIP: 02116-3764 BUSINESS PHONE: 6173515000 MAIL ADDRESS: STREET 1: 222 BERKELEY ST STREET 2: 5TH FL CITY: BOSTON STATE: MA ZIP: 02116-3764 FORMER COMPANY: FORMER CONFORMED NAME: HOUGHTON MIFFLIN & CO DATE OF NAME CHANGE: 19670402 COMPANY DATA: COMPANY CONFORMED NAME: BAUTE JOSEPH A CENTRAL INDEX KEY: 0001017388 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 222 BERKELEY ST CITY: BOSTON STATE: MA ZIP: 02116 MAIL ADDRESS: STREET 1: 222 BERKLEY ST CITY: BOSTON STATE: MA ZIP: 02116 4 1
- ---------------- U.S. SECURITIES AND EXCHANGE COMMISSION ---------------------------- |F O R M 4| Washington, D.C. 20549 | OMB APPROVAL | - ---------------- |--------------------------| STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number 3235-0287| [ ] Check this box if |Expires: September 30,1998| no longer Subject Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, |Estimated ave. burden | to Section 16. Section 17(a) of the Public Utility Holding Company Act of 1935 or |hours per response.....0.5| Section 30(f) of the Investment Company Act 1940 ---------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person to | | | | Issuer (Check all Applicable) | |Baute Joseph A. |Houghton Mifflin Company | | | | of Reporting Person | Year |---(give title below) ---(Specify below)| | | | X Director 10% Owner | |----------------------------------------|------------------------------------------------|--- --- | | (Last) (First) (MI)|3.IRS or Soc. Sec. No. |4.Statement for Month/ | Officer Other | | | of Reporting Person | Year |---(give title below) ---(Specify below)| | | (Voluntary) | | | | 515 East Surry Road | | March 2000 | | | | | | | |----------------------------------------| |------------------------|----------------------------------------| | (Street) | |5.If Amendment, Date of |7. Individual or Joint/Group Filing | | | | Original (Month/Year) | (Check Applicable Line) | | | | | | |Surry NH 03431 | | | X Form filed by One Reporting Person | | | | |--- | | | | | Form filed by More than One | | | | |--- Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | (City) (State) (Zip) | | TABLE I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned | |----------------------------------------------------------------------------------------------------------------------------------| |1.Title of Security |2.Transac- |3.Trans. |4.Security Acquired (A) or |5.Amount of |6. |7.Nature of Indirect| | (Instr. 3) | tion Date | Code | Disposed of (D) | Securities |Own.| Beneficial | | |(Mon/Day/Yr)|(Instr.8)| (Instr. 3, 4 & 5) | Beneficially |Form| Ownership | | | |---------|-------------------------------| Owned at End of|(D) | (Instr. 4) | | | | | | |(A) | | Month |or | | | | |Code| V | Amount |(D) | Price | (Instr. 3 & 4) |(I) | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | |Common Stock | 02/29/2000 | M | V | 4000 | A | $39.8125| 22128.898 | D | | | | | | | | | | (01)| | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Common Stock | | | | | | $.0000| 600 | I |Wife | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 1474 (7-96) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). PAGE: 1 OF 2
FORM 4 (continued) TABLE II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible security) - ------------------------------------------------------------------------------------------------------------------------------------ |1.Title of|2.Conver-|3. |4.Tran- |5.Number of |6.Date |7.Title and Amount |8.Price of|9.Number |10. |11.Nature | |Derivative|sion or |Trans| saction| Derivative |Exercisable| of Underlying |Derivative| of |Own.| of | |Security |Exercise |Date | Code | Securities |and | Securities |Security |Derivative|Form|Indirect | |(Instr. 3)|Price of |(Mon/|(Instr.8)| Acquired (A) or |Expiration | (Instr. 3 & 4) |(Instr. 5)|Securities|of |Beneficial| | |Deriva- | Day/| | Disposed of (D) |Date | | |Benefi- |Deri|Ownership | | |tive |Year)| | (Instr. 3, 4 & 5) |(Month/Day/| | |cially |Sec.|(Instr. 4)| | |Security | | | | Year) | | |Owned at |Dir.| | | | | | | |-----------|---------------------| |End of |(D) | | | | | | | | | | |Amount or | |Month |or | | | | | |---------|---------------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | |Code| V | (A) | (D) |Exbl.|Date | |Shares | | |(I) | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | |Stock Opti| $27.5000| | | | | | |01/27|Common Sto| 2000| | 2000| D | | |on | | | | | | | | 2002|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (02)| | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock Opti| $28.6875| | | | | | |01/27|Common Sto| 2000| | 2000| D | | |on | | | | | | | | 2003|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (03)| | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock Opti| $43.4375| | | | | | |01/25|Common Sto| 2000| | 2000| D | | |on | | | | | | | | 2004|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (04)| | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock Opti| $39.8750| | | | | | |01/24|Common Sto| 2000| | 2000| D | | |on | | | | | | | | 2005|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (05)| | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock Opti| $39.8125|02/29| M | V | 4000| |02/29|02/29|Common Sto| 4000| | | | | |on | | 2000| | | | | 2000| 2000|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock Opti| $39.8125|02/29| M | V | | 4000|02/29|02/29|Common Sto| 4000| | 0| D | | |on | | 2000| | | | | 2000| 2000|ck | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (01) Includes shares acquired under the Dividend Reinvestment Plan through December 31, 1999. (02) Currently exercisable as to all shares. (03) Currently exercisable as to all shares. (04) Currently exercisable as to 1,334 shares; 666 shares will become exercisable on January 26, 2001. (05) Currently exercisable as to 667 shares; 667 shares will become exercisable on January 25, 2001, and 666 shares will beco me exercisable on January 25, 2002. **Intentional misstatements or omissions of facts constitute Federal /s/Lois M. Novotny 03/15/2000 Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------------------ ---------- **Signature of Reporting Person Date Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (7-96) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMD Number Baute, Joseph A. Houghton Mifflin Company MAR-2000 PAGE: 2 OF 2
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