SEC Form 4 · accession 0000891839-16-000272

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 — Senior Vice President

Period of report

Oct 1, 2016

Accepted (ET)

Oct 4, 2016 · 4:49 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
Common Stock, par value $.01^F1	Oct 1, 2016	M	7,691	$0.00	A	13,591	D
Common Stock, par value $.01^F2	Oct 1, 2016	F	3,615	$15.00	D	9,976	D
Common Stock, par value $.01^F3	Oct 1, 2016	M	3,773	$0.00	A	13,749	D
Common Stock, par value $.01^F2	Oct 1, 2016	F	1,774	$15.00	D	11,975	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	Oct 1, 2016	M	7,691	D	—	Oct 1, 2017	Common Stock, par value $.01	7,691	7,692	D
Restricted Stock Units^F3	$0.00	Oct 1, 2016	M	3,773	D	—	Oct 1, 2018	Common Stock, par value $.01	3,773	7,547	D
Restricted Stock Units^F4	$0.00	Oct 1, 2016	A	11,667	A	—	Oct 1, 2019	Common Stock, par value $.01	11,667	11,667	D
Stock Option (Right to Buy)^F6	$15.00	Oct 1, 2016	A	0	A	—	Sep 30, 2023	Common Stock, par value $.01	0	0	D
Stock Option (Right to Buy)^F5	$15.46	holding	—	—	—	—	Sep 30, 2022	Common Stock, par value $.01	27,090	27,090	D

F1These 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 10/1/14 grant date.
F2Shares withheld to cover withholding obligations upon vesting of restricted stock units.
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 10/1/15 grant date.
F4These 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 one-third on each of the three anniversaries of the grant date.
F5This option vests one-third on each of the first three anniversaries of the 10/1/15 grant date.
F6This 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 $175,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Overman will file an amendment to this report.