SEC Form 4 · accession 0000891839-16-000286
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David E Bullwinkle
Officer — CFO and Senior Vice President
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 5:19 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 $.01F2 | Dec 15, 2016 | M | 645 | $0.00 | A | 10,682 | D | |
| Common Stock, par value $.01F3 | Dec 15, 2016 | F | 239 | $16.35 | D | 10,443 | 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 UnitsF2 | $0.00 | Dec 15, 2016 | M | 645 | D | — | Dec 15, 2017 | Common Stock, par value $01 | 645 | 647 | D |
| Restricted Stock UnitsF1 | $0.00 | holding | — | — | — | — | Sep 3, 2017 | Common Stock, par value $01 | 644 | 644 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | Sep 3, 2018 | Common Stock, par value $01 | 2,220 | 2,220 | D |
| Restricted Stock UnitsF5 | $0.00 | holding | — | — | — | — | Jul 1, 2019 | Common Stock, par value $.01 | 18,473 | 18,473 | D |
| Stock Option (Right to Buy)F6 | $23.78 | holding | — | — | — | — | Sep 2, 2021 | Common Stock, par value $.01 | 5,805 | 5,805 | D |
| Stock Option (Right to Buy)F7 | $20.25 | holding | — | — | — | — | Dec 14, 2021 | Common Stock, par value $.01 | 5,349 | 5,349 | D |
| Stock Option (Right to Buy)F8 | $13.76 | holding | — | — | — | — | Sep 2, 2022 | Common Stock, par value $.01 | 7,965 | 7,965 | D |
| Stock Option (Right to Buy)F9 | $16.24 | holding | — | — | — | — | Jun 30, 2023 | Common Stock, par value $.01 | 45,942 | 45,942 | 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 12/15/14 grant date.
- F3Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.
- F4These 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.
- F5These restricted stock units, which convert into common stock on a one-to-one basis, vest one-third on each of the first three anniversaries of the 7/1/2016 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 12/15/14 grant date.
- F8This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date.
- F9This option vests one-third on each of the first three anniversaries of the 7/1/16 grant date.