SEC Form 4 · accession 0000891839-15-000079
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
John N McMullen
Officer — CFO and Executive VP
Period of report
Jun 16, 2015
Accepted (ET)
Jul 8, 2015 · 4:34 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 StockF1 | Jun 16, 2015 | M | 12,327 | $0.00 | A | 12,327 | D | |
| Common StockF2 | Jun 16, 2015 | F | 5,819 | $17.64 | D | 6,508 | 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 | $0.00 | Jun 16, 2015 | M | 12,327 | D | — | Jun 16, 2017 | Common Stock, par value $.01 | 36,983 | 24,656 | D |
| Restricted Stock UnitsF3 | $0.00 | Jun 16, 2015 | A | 28,345 | A | — | Jun 16, 2018 | Common Stock, par value $.01 | 28,345 | 28,345 | D |
| Stock Option (Right to Buy)F4 | $17.64 | Jun 16, 2015 | A | 0 | A | — | Jun 16, 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 6/16/2014 grant date.
- F2Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.
- F3These restricted stock units, which convert into common stock on a one-for-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.
- F4This 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 $500,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. McMullen will file an amendment to this report.