SEC Form 4 · accession 0000891839-15-000047
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
May 12, 2015
Accepted (ET)
May 14, 2015 · 5:07 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 | holding | — | — | — | 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 UnitsF3 | $0.00 | May 12, 2015 | A | 2,786 | A | — | May 12, 2018 | Common Stock, par value $.01 | 2,786 | 2,786 | D |
| Stock Option (Right to Buy)F5 | $17.95 | May 12, 2015 | A | 0 | A | — | May 11, 2022 | Common Stock, par value $.01 | 0 | 0 | D |
| Restricted Stock UnitsF1 | $0.00 | holding | — | — | — | — | Apr 28, 2017 | Common Stock, par value $.01 | 9,988 | 9,988 | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | — | Apr 28, 2018 | Common Stock, par value $.01 | 6,116 | 6,116 | D |
| Stock Option (Right to Buy)F4 | $20.44 | holding | — | — | — | — | Apr 27, 2022 | Common Stock, par value $.01 | 0 | 0 | D |
Explanation of responses
- F1Except 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 4/28/14 grant date.
- F2Except 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 4/28/15 grant date.
- F3These 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.
- F4Except as otherwise provided in the award notice, this option vests one-third on each of the first three anniversaries of the 4/28/15 grant date. The number of shares underlying the option could not be determined on the grant date, 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 his 4/28/15 report.
- 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. The number of shares underlying the option cannot be determined at this time, but will be based on $50,000 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.