UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | Â (1) | 06/22/2019 | Common Stock | 327,486 | $ 12.5 | D | Â |
Employee Stock Option (Right to Buy) | Â (2) | 07/25/2020 | Common Stock | 72,514 | $ 13.48 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gentel Gary Lee 222 BERKELEY STREET BOSTON, MA 02116 |
 |  |  See Remarks |  |
/s/ Gary L. Gentel | 11/13/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 25% of Mr. Gentel's stock options have vested and are currently exercisable. The remaining stock options vest in three equal installments on June 22, 2014, June 22, 2015 and June 22, 2016, subject to Mr. Gentel's continued employment with Houghton Mifflin Harcourt Company (the "Company"). |
(2) | Mr. Gentel's stock options vest in four equal installments on July 25, 2014, July 25, 2015, July 25, 2016 and July 25, 2017, subject to Mr. Gentel's continued employment with the Company. |
 Remarks: President, HMH Trade Publishing Exhibit 24.1: Power of Attorney |