SEC Form 4 · accession 0000891839-16-000239
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
David E Bullwinkle
Officer — CFO and Senior Vice President
Period of report
Jul 1, 2016
Accepted (ET)
Jul 6, 2016 · 6:20 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 | — | — | — | 7,353 | 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 | Jul 1, 2016 | A | 18,473 | A | — | Jul 1, 2019 | Common Stock, par value $.01 | 18,473 | 18,473 | D |
| Stock Option (Right to Buy)F2 | $16.24 | Jul 1, 2016 | A | 0 | A | — | Jul 1, 2023 | Common Stock, par value $.01 | 0 | 0 | D |
Explanation of responses
- F1These 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 vest one-third on each of the first three anniversaries of the grant date.
- F2This option was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and 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 $300,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Bullwinkle will file an amendment to this report.