SEC Form 4 · accession 0000891839-16-000185
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric-Yves Mahe
Officer — Senior Vice President
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 8:58 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 1, 2016 | M | 3,221 | $0.00 | A | 7,215 | 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 | Apr 1, 2016 | A | 3,221 | A | Apr 1, 2016 | Apr 1, 2016 | Common Stock, par value $.01 | 3,221 | 3,221 | D |
| Restricted Stock UnitsF1 | $0.00 | Apr 1, 2016 | M | 3,221 | D | Apr 1, 2016 | Apr 1, 2016 | Common Stock, par value $.01 | 3,221 | 0 | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | — | Apr 28, 2017 | Common Stock, par value $.01 | 9,988 | 9,988 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | Apr 28, 2018 | Common Stock, par value $.01 | 6,116 | 6,116 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | May 12, 2018 | Common Stock, par value $.01 | 2,786 | 2,786 | D |
| Stock Option (Right to Buy)F5 | $20.44 | holding | — | — | — | — | Apr 27, 2022 | Common Stock, par value $.01 | 17,508 | 17,508 | D |
| Stock Option (Right to Buy)F6 | $17.95 | holding | — | — | — | — | May 11, 2022 | Common Stock, par value $.01 | 7,003 | 7,003 | D |
Explanation of responses
- F1These 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 vest immediately.
- F2These 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.
- F3These 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 4/28/15 grant date.
- F4These 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 5/12/15 grant date.
- F5This option vests one-third on each of the first three anniversaries of the 4/28/15 grant date.
- F6This option vests one-third on each of the first three anniversaries of the 5/12/15 grant date.