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Houghton Mifflin Harcourt Co 4

Accession 0001140361-15-026090

CIK 0001580156operating
View on SEC.govCompany Profile

Filed

Jun 29, 8:00 PM ET

Accepted

Jun 30, 7:00 PM ET

Size

40.6 KB

Accession

0001140361-15-026090

Insider Transaction Report

Form 4
Period: 2015-06-26
Houghton Mifflin Harcourt CoHMHC
Davis Anthony Lynn
10% Owner
Transactions
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−137,441$3,526,736→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,188→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,376 underlying)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−413,125$10,600,788→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+17,272$365,130→ 427,067 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,254$89,930→ 759,845 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,533$92,529→ 137,441 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−8,636→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (17,272 underlying)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,376$92,509→ 140,974 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,127→ 0 total(indirect: By GRF Master Fund II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,254 underlying)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−13,942$365,141→ 413,125 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−756,411$19,409,506→ 0 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,434$89,936→ 756,411 total(indirect: By GRF Master Fund II, L.P.)
Holdings

  • Common Stock, $0.01 par value per share

    (indirect: By LLC)
    134,740

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (414,392 underlying)
    207,696

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    19,330,830

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    622,320

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (8,212 underlying)
    4,106
Ulrich Kevin Michael
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+17,272$365,130→ 427,067 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,533$92,529→ 137,441 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−756,411$19,409,506→ 0 total(indirect: By GRF Master Fund II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,188→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,376 underlying)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,376$92,509→ 140,974 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−13,942$365,141→ 413,125 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−137,441$3,526,736→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,434$89,936→ 756,411 total(indirect: By GRF Master Fund II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,127→ 0 total(indirect: By GRF Master Fund II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,254 underlying)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,254$89,930→ 759,845 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−413,125$10,600,788→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−8,636→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (17,272 underlying)
Holdings

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    19,330,830

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (8,212 underlying)
    4,106

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    622,320

  • Common Stock, $0.01 par value per share

    (indirect: By LLC)
    134,740

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (414,392 underlying)
    207,696
Anchorage Capital Group, L.L.C.
10% Owner
Transactions
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−13,942$365,141→ 413,125 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,533$92,529→ 137,441 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−413,125$10,600,788→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−756,411$19,409,506→ 0 total(indirect: By GRF Master Fund II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,127→ 0 total(indirect: By GRF Master Fund II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,254 underlying)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+17,272$365,130→ 427,067 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,376$92,509→ 140,974 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,188→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,376 underlying)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,254$89,930→ 759,845 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,434$89,936→ 756,411 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−137,441$3,526,736→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−8,636→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (17,272 underlying)
Holdings

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    19,330,830

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    622,320

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (8,212 underlying)
    4,106

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (414,392 underlying)
    207,696

  • Common Stock, $0.01 par value per share

    (indirect: By LLC)
    134,740
Anchorage Capital Master Offshore, Ltd
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,376$92,509→ 140,974 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−13,942$365,141→ 413,125 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,533$92,529→ 137,441 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,434$89,936→ 756,411 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−413,125$10,600,788→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−137,441$3,526,736→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,188→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,376 underlying)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+17,272$365,130→ 427,067 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,254$89,930→ 759,845 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−756,411$19,409,506→ 0 total(indirect: By GRF Master Fund II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−8,636→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (17,272 underlying)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,127→ 0 total(indirect: By GRF Master Fund II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,254 underlying)
Holdings

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (8,212 underlying)
    4,106

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (414,392 underlying)
    207,696

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    19,330,830

  • Common Stock, $0.01 par value per share

    (indirect: By LLC)
    134,740

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    622,320
Anchorage Advisors Management, LLC
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,376$92,509→ 140,974 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,533$92,529→ 137,441 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−413,125$10,600,788→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−137,441$3,526,736→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$25.66/sh−756,411$19,409,506→ 0 total(indirect: By GRF Master Fund II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,127→ 0 total(indirect: By GRF Master Fund II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,254 underlying)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+17,272$365,130→ 427,067 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Exercise of In-Money

    Common Stock, $0.01 par value per share

    2015-06-26$21.14/sh+4,254$89,930→ 759,845 total(indirect: By GRF Master Fund II, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−13,942$365,141→ 413,125 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
  • Sale

    Common Stock, $0.01 par value per share

    2015-06-26$26.19/sh−3,434$89,936→ 756,411 total(indirect: By GRF Master Fund II, L.P.)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−8,636→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (17,272 underlying)
  • Exercise of In-Money

    Common Stock Warrants (right to buy)

    2015-06-26−2,188→ 0 total(indirect: By Anchorage Illiquid Opportunities Offshore Master II, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, $0.01 par value per share (4,376 underlying)
Holdings

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    622,320

  • Common Stock, $0.01 par value per share

    (indirect: By LLC)
    134,740

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (414,392 underlying)
    207,696

  • Common Stock, $0.01 par value per share

    (indirect: By Anchorage Capital Master Offshore, Ltd.)
    19,330,830

  • Common Stock Warrants (right to buy)

    (indirect: By Anchorage Illiquid Opportunities Offshore Master III, L.P.)
    Exercise: $21.14From: 2012-06-22Exp: 2019-06-22→ Common Stock, par value $0.001 per share (8,212 underlying)
    4,106
Footnotes (6)
  • [F1]Anchorage Advisors Management, L.L.C. is the sole managing member of Anchorage Capital Group, L.L.C., the investment advisor to each of Anchorage Capital Master Offshore, Ltd., Anchorage Illiquid Opportunities Offshore Master, L.P., Anchorage Illiquid Opportunities Offshore Master II, L.P., Anchorage Illiquid Opportunities Offshore Master III, L.P., GRF Master Fund II, L.P., and PCI Fund LLC. Mr. Davis is the President of Anchorage Capital Group, L.L.C. and a managing member of Anchorage Advisors Management, L.L.C. Mr. Ulrich is the Chief Executive Officer of Anchorage Capital Group, L.L.C. and the other managing member of Anchorage Advisors Management, L.L.C.
  • [F2]Each reporting person disclaims beneficial ownership of the reported securities except to the extent, if any, of its or his pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
  • [F3]Each of Anchorage Illiquid Opportunities Offshore Master, L.P., Anchorage Illiquid Opportunities Offshore Master II, L.P. and GRF Master Fund II, L.P. is in the process of selling or otherwise resolving investments in preparation for the formal liquidation of such investment funds pursuant to their governing documents and the transactions reported herein were effected in connection with such processes.
  • [F4]These shares were used to pay the exercise price for the warrant exercises on June 26, 2015 on a cashless basis, with fractional shares paid out in cash.
  • [F5]There were no reportable transactions in the shares or warrants held for the accounts of each of Anchorage Capital Master Offshore, Ltd., Anchorage Illiquid Opportunities Offshore Master III, L.P., and PCI Fund LLC.
  • [F6]Each one (1) warrant entitles the holder to purchase two (2) shares of common stock.

Documents

1 file

Issuer

Houghton Mifflin Harcourt Co

CIK 0001580156

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001580156

Filing Metadata

Form type
4
Filed
Jun 29, 8:00 PM ET
Accepted
Jun 30, 7:00 PM ET
Size
40.6 KB
View on SEC.gov