SEC Form 4 · accession 0000891839-16-000281

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

Brad Kruchten

Officer — Senior Vice President

Period of report

Nov 15, 2016

Accepted (ET)

Nov 17, 2016 · 6:10 pm EST

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	Nov 16, 2016	S	1,534	$15.50	D	90	I	By Spouse
Common Stock, par value $.01	holding	—	—		—	20,395	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 Units^F4	$0.00	Nov 15, 2016	A	27,632	A	—	Sep 3, 2020	Common Stock, par value $.01	27,632	27,632	D
Stock Option (Right to Buy)^F9	$15.20	Nov 15, 2016	A	0	A	—	Nov 14, 2023	Common Stock, par value $.01	0	0	D
Restricted Stock Units^F1	$0.00	holding	—	—	—	—	Sep 3, 2017	Common Stock, par value $.01	5,888	5,888	D
Restricted Stock Units^F2	$0.00	holding	—	—	—	—	Sep 3, 2018	Common Stock, par value $.01	20,350	20,350	D
Restricted Stock Units^F3	$0.00	holding	—	—	—	—	Sep 3, 2019	Common Stock, par value $.01	26,958	26,958	D
Restricted Stock Units^F5	$0.00	holding	—	—	—	—	Aug 24, 2018	Common Stock, par value $.01	4,871	4,871	I
Stock Option (Right to Buy)^F6	$23.78	holding	—	—	—	—	Sep 2, 2021	Common Stock, par value $.01	53,232	53,232	D
Stock Option (Right to Buy)^F7	$13.76	holding	—	—	—	—	Sep 2, 2022	Common Stock, par value $.01	73,044	73,044	D
Stock Option (Right to Buy)^F8	$15.58	holding	—	—	—	—	Sep 2, 2023	Common Stock, par value $.01	71,308	71,308	D
125% Warrants to purchase Common Stock, par value $.01^F10	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	943	943	D
135% Warrants to purchase Common Stock, par value $.01^F10	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	943	943	D
125% Warrants to purchase Common Stock, par value $.01^F10	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	31	31	I
135% Warrants to purchase Common Stock, par value $.01^F10	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	31	31	I

Explanation of responses

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 9/3/14 grant date.
F10Each of these Warrants entitles the holder to purchase one share of common stock; however for each Warrant exercised, the holder will receive a net share amount equal to the number of shares issuable upon the exercise multiplied by the closing sale price of the common stock on the exercise date minus the exercise price, divided by the closing sale price, together with cash for any fractional shares.
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 9/3/15 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 9/3/16 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 9/3/18 and one-third on each of the first two anniversaries of such date.
F5These 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 8/24/15 grant date.
F6This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date.
F7This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date.
F8This option vests one-third on each of the first three anniversaries of the 9/3/16 grant date.
F9This option was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date. The number of shares underlying the option cannot be determined at this time, but will be based on $420,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Kruchten will file an amendment to this report.