SEC Form 4 · accession 0000891839-17-000018

EASTMAN KODAK CO · KODK

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

Reporting owner

Director

Period of report

Jan 8, 2017

Accepted (ET)

Jan 10, 2017 · 5:02 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^F1	Jan 8, 2017	M	14,327	$0.00	A	1,367,670	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1	$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 Units^F2	$0.00	Jan 9, 2017	A	9,804	A	—	—	Common Stock, par value $.01	9,804	9,804	D
125% Warrants to purchase Common Stock, par value $.01^F3	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	31,451	31,451	D
135% Warrants to purchase Common Stock, par value $.01^F3	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	31,451	31,451	D

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 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.