SEC Form 4 · accession 0000891839-17-000014
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Burgess
Director
Period of report
Jan 8, 2017
Accepted (ET)
Jan 10, 2017 · 4:49 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 $.01F1 | Jan 8, 2017 | M | 14,327 | $0.00 | A | 28,314 | 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 UnitsF1 | $0.00 | Jan 8, 2017 | M | 14,327 | D | Jan 8, 2017 | Jan 8, 2017 | Common Stock, par value $.01 | 14,327 | 0 | D |
| Restricted Stock UnitsF2 | $0.00 | Jan 9, 2017 | A | 9,804 | A | — | — | Common Stock, par value $.01 | 9,804 | 9,804 | D |
| Phantom StockF3 | $0.00 | holding | — | — | — | — | — | Common Stock, par value $.01 | 3,914 | 3,914 | D |
Explanation of responses
- F1These restricted stock units convert into common stock on a one-for-one basis.
- F2These 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, except as otherwise provided in the award notice, vest on 1/9/2018, subject to continuous service as a member of the board of directors.
- F3Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Burgess in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments.