SEC Form 4 · accession 0000891839-15-000033
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Samuels
Officer — Controller
Period of report
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 8:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000031235
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01F1 | Mar 2, 2015 | A | 4 | $0.00 | A | 2,841 | D | |
| Common Stock, par value $.01F2 | Mar 2, 2015 | F | 2 | $18.19 | D | 2,839 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 125% Warrants to purchase Common Stock, par value $.01F6 | $14.93 | Mar 2, 2015 | A | 1 | A | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 1 | 9 | D |
| 125% Warrants to purchase Common Stock, par value $.01F7 | $14.93 | Mar 2, 2015 | F | 1 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 1 | 8 | D |
| 135% Warrants to purchase Common Stock, par value $.01F6 | $16.12 | Mar 2, 2015 | A | 1 | A | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 1 | 9 | D |
| 135% Warrants to purchase Common Stock, par value $.01F7 | $16.12 | Mar 2, 2015 | F | 1 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 1 | 8 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | Sep 3, 2016 | Common Stock, par value $.01 | 8,946 | 8,946 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | Sep 3, 2017 | Common Stock, par value $.01 | 6,308 | 6,308 | D |
| Stock Option (Right to Buy)F5 | $23.78 | holding | — | — | — | — | Sep 2, 2021 | Common Stock, par value $.01 | 19,012 | 19,012 | D |
Explanation of responses
- F1Distribution on account of unsecured claims pursuant to the Kodak Chapter 11 Plan.
- F2Shares withheld to cover tax withholding obligations from the distribution of shares described in footnote 1.
- F3These restricted stock units, which convert into common stock on a one-to-one basis, vest one-third on each of the first three anniversaries of the 9/3/13 grant date.
- F4Except as otherwise provided in the award notice, these restricted stock units, which convert into common stock on a one-to-one basis, vest one-third on each of the first three anniversaries of the 9/3/14 grant date, subject to Mr. Samuels's continuous employment with the Company.
- F5Except as otherwise provided in the award notice, this option vests one-third on each of the first three anniversaries of the 9/3/14 grant date, subject to Mr. Samuels's continuous employment with the Company.
- F6Distribution on account of unsecured claims pursuant to the Kodak Chapter 11 Plan.
- F7Warrants withheld to cover tax withholding obligations from the distribution of warrants described in footnote 6.