SEC Form 4 · accession 0000891839-15-000043
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Eric-Yves Mahe
Officer — Senior Vice President
Period of report
Apr 28, 2015
Accepted (ET)
Apr 30, 2015 · 5:24 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 $.01F1 | Apr 28, 2015 | M | 4,993 | $0.00 | A | 4,993 | D | |
| Common Stock, par value $.01F2 | Apr 28, 2015 | F | 999 | $20.44 | D | 3,994 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | $0.00 | Apr 28, 2015 | M | 4,993 | D | — | Apr 28, 2017 | Common Stock, par value $.01 | 4,993 | 9,988 | D |
| Restricted Stock UnitsF4 | $0.00 | Apr 28, 2015 | A | 6,116 | A | — | Apr 28, 2018 | Common Stock, par value $.01 | 6,116 | 6,116 | D |
| Stock Option (Right to Buy)F5 | $20.44 | Apr 28, 2015 | A | 0 | A | — | Apr 27, 2022 | Common Stock, par value $.01 | 0 | 0 | D |
Explanation of responses
- F1These restricted stock units convert into common stock on a one-for-one basis.
- F2Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.
- F3These restricted stock units vest one-third on each of the first three anniversaries of the 4/28/14 grant date.
- F4These restricted stock units, which convert into common stock on a one-to-one basis, were granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of the first three anniversaries of the grant date, subject to Mr. Mahe's continuous employment with the Company.
- F5This option was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-third on each of the first three anniversaries of the grant date, subject to Mr. Mahe's continuous employment with the Company. The number of shares underlying the option cannot be determined at this time, but will be based on $125,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Mahe will file an amendment to this report.