SEC Form 4/A · accession 0000891839-17-000023

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

Officer — General Counsel, Sec., SVP

Period of report

Dec 15, 2016

Accepted (ET)

Jan 11, 2017 · 5:49 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 $.01	holding	—	—		—	150	I	By Spouse
Common Stock, par value $.01	holding	—	—		—	9,123	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F6	$16.35	Dec 15, 2016	A	37,538	A	—	Dec 14, 2023	Common Stock, par value $.01	37,538	37,538	D
Restricted Stock Units^F1	$0.00	holding	—	—	—	—	Dec 15, 2017	Common Stock, par value $.01	3,293	3,293	D
Restricted Stock Units^F2	$0.00	holding	—	—	—	—	Dec 15, 2018	Common Stock, par value	10,558	10,558	D
Restricted Stock Units^F3	$0.00	holding	—	—	—	—	Dec 15, 2019	Common Stock, par value	15,291	15,291	D
Stock Option (Right to Buy)^F4	$20.25	holding	—	—	—	—	Dec 14, 2021	Common Stock, par value $.01	27,286	27,286	D
Stock Option (Right to Buy)^F5	$12.63	holding	—	—	—	—	Dec 14, 2022	Common Stock, par value $.01	39,604	39,604	D
125% Warrants to purchase Common Stock, par value $.01^F7	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	314	314	D
135% Warrants to purchase Common Stock, par value $.01^F7	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	314	314	D

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 12/15/14 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 12/15/15 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 12/15/16 grant date.
F4This option vests one-third on each of the first three anniversaries of the 12/15/14 grant date.
F5This option vests one-third on each of the first three anniversaries of the 12/15/15 grant date.
F6Ms. Underberg previously reported this option on her 12/15/16 Form 4; however, at that time, the number of shares underlying the option could not be determined. Ms. Underberg is filing this amendment to report the number of shares underlying the option. This option vests one-third on each of the first three anniversaries of the grant date.
F7Each 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.