SEC Form 4 · accession 0000891839-16-000177

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

Officer — Chief Executive Officer · Director

Period of report

Mar 12, 2016

Accepted (ET)

Mar 15, 2016 · 6:41 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^F1	Mar 12, 2016	M	36,764	$0.00	A	86,120	D
Common Stock^F2	Mar 12, 2016	F	17,353	$10.19	D	68,767	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1	$0.00	Mar 12, 2016	M	36,764	D	—	Mar 12, 2017	Common Stock, par value $.01	36,764	36,767	D
Stock Option (Right to Buy)^F5	$10.19	Mar 12, 2016	A	0	A	—	Mar 11, 2023	Common Stock, par value $.01	0	0	D
Stock Option (Right to Buy)^F3	$27.20	holding	—	—	—	—	Mar 11, 2021	Common Stock, par value $.01	114,943	114,943	D
Stock Option (Right to Buy)^F4	$18.46	holding	—	—	—	—	Mar 11, 2022	Common Stock, par value $.01	152,207	152,207	D

F1Except as otherwise provided in the award notice or in Mr. Clarke's employment agreement, 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 3/12/14 grant date.
F2Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.
F3Except as otherwise provided in the award notice or in Mr. Clarke's employment agreement, this option vests one-third on each of the first three anniversaries of the 3/12/14 grant date.
F4Except as otherwise provided in the award notice or in Mr. Clarke's employment agreement, this option vests one-third on each of the first three anniversaries of the 3/12/15 grant date.
F5This option was granted pursuant to the terms of Mr. Clarke's 3/12/14 employment agreement under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice or the employment agreement, this option 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 $1,000,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Clarke will file an amendment to this report.