SEC Form 4 · accession 0000891839-15-000039

EASTMAN KODAK CO · KODK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Senior Vice President

Period of report

Sep 9, 2014

Accepted (ET)

Mar 27, 2015 · 5:28 pm EDT

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 $.01	Sep 9, 2014	M	109	$14.93	A	206	I	By Spouse
Common Stock, par value $.01	Sep 9, 2014	M	94	$16.12	A	300	I	By Spouse
Common Stock, par value $.01	Sep 18, 2014	S	97	$24.8801	D	203	I	By Spouse
Common Stock, par value $.01	Sep 23, 2014	S	203	$25.3401	D	0	I	By Spouse
Common Stock, par value $.01	holding	—	—		—	8,255	D

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 $.01^F4	$14.93	Sep 9, 2014	M	288	D	Sep 3, 2013	Sep 3, 2013	Common Stock, par value $.01	288	0	I
135% Warrants to purchase Common Stock, par value $.01^F4	$16.12	Sep 9, 2014	M	288	D	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	288	0	I
Restricted Stock Units^F1	$0.00	holding	—	—	—	—	Sep 3, 2016	Common Stock, par value $.01	18,469	18,469	D
Restricted Stock Units^F2	$0.00	holding	—	—	—	—	Sep 3, 2017	Common Stock, par value $.01	17,622	17,622	D
Stock Option (Right to Buy)^F3	$23.78	holding	—	—	—	—	Sep 2, 2021	Common Stock, par value $.01	53,232	53,232	D
125% Warrants to purchase Common Stock, par value $.01	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	851	851	D
135% Warrants to purchase Common Stock, par value $.01	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	851	851	D

F1These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/13 grant date.
F2Except as otherwise provided in the award notice, these restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/14 grant date, subject to Mr. Kruchten's continuous employment with the Company.
F3Except 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. Kruchten's continuous employment with the Company.
F4Each of these Warrants entitles the holder to purchase one share of common stock; however for each Warrant exercised, the holder will receive a net share amount equal to the number of shares issuable upon the exercise multiplied by the closing sale price of our common stock on the exercise date minus the exercise price, divided by the closing sale price, together with cash for any fractional shares.