SEC Form 4 · accession 0000891839-17-000007

EASTMAN KODAK CO · KODK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Aug 16, 2014

Accepted (ET)

Jan 4, 2017 · 6:28 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
Common Stock, par value $.01^F1	Aug 16, 2014	A	9,451	$0.00	A	1,342,111	D
Common Stock, par value $.01^F1	Feb 25, 2015	A	8,911	$0.00	A	1,351,022	D
Common Stock, par value $.01^F2	Jan 1, 2017	M	2,321	$0.00	A	1,353,343	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2	$0.00	Jan 1, 2017	M	2,321	D	Jan 1, 2017	Jan 1, 2017	Common Stock, par value $.01	2,321	0	D
125% Warrants to purchase Common Stock, par value $.01^F1,F4	$14.93	Aug 20, 2014	A	3,284	A	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	3,284	28,341	D
135% Warrants to purchase Common Stock, par value $.01^F1,F4	$16.12	Aug 20, 2014	A	3,284	A	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	3,284	28,341	D
125% Warrants to purchase Common Stock, par value $.01^F1,F4	$14.93	Feb 25, 2015	A	3,110	A	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	3,110	31,451	D
135% Warrants to purchase Common Stock, par value $.01^F1,F4	$16.12	Feb 25, 2015	A	3,110	A	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	3,110	31,451	D
Restricted Stock Units^F3	$0.00	holding	—	—	—	—	—	Common Stock, par value $.01	14,327	14,327	D

F1Distribution on account of certain unsecured claims pursuant to the Kodak Chapter 11 Plan.
F2These restricted stock units convert into common stock on a one-for-one basis.
F3These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan and, except as otherwise provided in the award notice, vest on 1/8/2017 (due to an administrative error, previously reported as 1/1/2017), subject to continuous service as a member of the board of directors.
F4Each 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.