SEC Form 4 · accession 0000891839-17-000046
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeff Clarke
Officer — Chief Executive Officer · Director
Period of report
Mar 12, 2017
Accepted (ET)
Mar 14, 2017 · 4:27 pm EDT
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 StockF1 | Mar 12, 2017 | M | 36,767 | $0.00 | A | 105,534 | D | |
| Common StockF2 | Mar 12, 2017 | F | 17,355 | $11.65 | D | 88,179 | 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 | Mar 12, 2017 | M | 36,767 | D | — | Mar 12, 2017 | Common Stock, par value $.01 | 36,767 | 0 | D |
| Stock Option (Right to Buy)F3 | $27.20 | holding | — | — | — | — | Mar 11, 2021 | Common Stock, par value $.01 | 114,943 | 114,943 | D |
| Stock Option (Right to Buy)F4 | $18.46 | holding | — | — | — | — | Mar 11, 2022 | Common Stock, par value $.01 | 152,207 | 152,207 | D |
| Stock Option (Right to Buy)F5 | $10.19 | holding | — | — | — | — | Mar 11, 2023 | Common Stock, par value $.01 | 229,358 | 229,358 | D |
Explanation of responses
- F1Except as otherwise provided in the award notice or in Mr. Clarke's employment agreement, these restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on each of the first three anniversaries of the 3/12/2014 grant date.
- F2Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.
- F3Except as otherwise provided in the award notice or in Mr. Clarke's employment agreement, this option vests one-third on each of the first three anniversaries of the 3/12/2014 grant date.
- F4Except as otherwise provided in the award notice or in Mr. Clarke's employment agreement, this option vests one-third on each of the first three anniversaries of the 3/12/2015 grant date.
- F5Except as otherwise provided in the award notice or in Mr. Clarke's employment agreement, this option vests one-third on each of the first three anniversaries of the 3/12/2016 grant date.