SEC Form 4 · accession 0000891839-16-000282

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

John G. O'Grady

Officer — GM, WW Sales, Vice President

Period of report

Nov 15, 2016

Accepted (ET)

Nov 17, 2016 · 6:20 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	holding	—	—		—	7,651	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	16,448	A	—	Sep 3, 2020	Common Stock, par value $.01	16,448	16,448	D
Stock Option (Right to Buy)^F8	$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	2,034	2,034	D
Restricted Stock Units^F2	$0.00	holding	—	—	—	—	Sep 3, 2018	Common Stock, par value $.01	7,026	7,026	D
Restricted Stock Units^F3	$0.00	holding	—	—	—	—	Sep 3, 2019	Common Stock, par value $.01	11,233	11,233	D
Stock Option (Right to Buy)^F5	$23.78	holding	—	—	—	—	Sep 2, 2021	Common Stock, par value $.01	18,378	18,378	D
Stock Option (Right to Buy)^F6	$13.76	holding	—	—	—	—	Sep 2, 2022	Common Stock, par value $.01	25,218	25,218	D
Stock Option (Right to Buy)^F7	$15.58	holding	—	—	—	—	Sep 2, 2023	Common Stock, par value $.01	29,712	29,712	D
125% Warrants to purchase Common Stock, par value $.01^F9	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	169	169	D
135% Warrants to purchase Common Stock, par value $.01^F9	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	169	169	D

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.
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.
F5This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date.
F6This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date.
F7This option vests one-third on each of the first three anniversaries of the 9/3/16 grant date.
F8This 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 $250,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. O'Grady will file an amendment to this report.
F9Each 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.