SEC Form 4/A · accession 0000891839-17-000022

EASTMAN KODAK CO · KODK

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

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

John G. O'Grady

Officer — GM, WW Sales, Senior VP

Period of report

Nov 15, 2016

Accepted (ET)

Jan 11, 2017 · 5:46 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	—	—		—	1,151	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F8	$15.20	Nov 15, 2016	A	39,247	A	—	Nov 14, 2023	Common Stock, par value $.01	39,247	39,247	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
Restricted Stock Units^F4	$0.00	holding	—	—	—	—	Sep 3, 2020	Common Stock, par value $.01	16,448	16,448	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, 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.
F8Mr. O'Grady previously reported this option on his 11/15/16 Form 4; however, at that time, the number of shares underlying the option could not be determined. Mr. O'Grady is filing this amendment to report the number of shares underlying the option. This option vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date.
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.