SEC Form 4 · accession 0000891839-16-000244
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William G Parrett
Director
Period of report
Feb 13, 2015
Accepted (ET)
Aug 16, 2016 · 7:04 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 | Feb 13, 2015 | A | 59 | $0.00 | A | 19,806 | D | |
| Common Stock, par value $.01F2 | Feb 13, 2015 | F | 19 | $18.19 | D | 19,787 | D | |
| Common Stock, par value $.01 | Aug 12, 2016 | S | 19,747 | $15.96 | D | 40 | D | |
| Common Stock, par value $.01 | Aug 12, 2016 | S | 40 | $16.21 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 125% Warrants to purchase Common Stock, par value $.01F5 | $14.93 | Feb 13, 2015 | A | 20 | A | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 20 | 20 | D |
| 125% Warrants to purchase Common Stock, par value $.01F6 | $14.93 | Feb 13, 2015 | F | 7 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 7 | 13 | D |
| 135% Warrants to purchase Common Stock, par value $.01F5 | $16.12 | Feb 13, 2015 | A | 20 | A | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 20 | 20 | D |
| 135% Warrants to purchase Common Stock, par value $.01F6 | $16.12 | Feb 13, 2015 | F | 7 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 7 | 13 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | — | Common Stock, par value $.01 | 2,321 | 2,321 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Common Stock, par value $.01 | 14,327 | 14,327 | D |
Explanation of responses
- F1Distribution on account of unsecured claims pursuant to the Kodak Chapter 11 Plan.
- F2Shares withheld to cover tax withholding obligations from the distribution of shares described in footnote 1.
- F3These restricted stock units, which convert into common stock on a one-for-one basis, were previously reported by Mr. Parrett and, except as otherwise provided in the award agreement, vest on 1/1/17, subject to continuous service as a member of the board of directors.
- F4These restricted stock units, which convert into common stock on a one-for-one basis, were previously reported by Mr. Parrett and, except as otherwise provided in the award notice, vest on 1/1/17, subject to continuous service as a member of the board of directors.
- F5Distribution on account of unsecured claims pursuant to the Kodak Chapter 11 Plan.
- F6Warrants withheld to cover tax withholding obligations from the distribution of warrants described in footnote 5.