SEC Form 4 · accession 0000891839-17-000055
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Karfunkel
Director
Period of report
Apr 26, 2017
Accepted (ET)
Apr 28, 2017 · 4:21 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 Stock, par value $.01 | Apr 26, 2017 | P | 835,706 | $10.75 | A | 2,203,376 | 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 | holding | — | — | — | — | — | Common Stock, par value $.01 | 9,804 | 9,804 | D |
| 125% Warrants to purchase Common Stock, par value $.01F2 | $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 $.01F2 | $16.12 | holding | — | — | — | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 31,451 | 31,451 | D |
Explanation of responses
- F1These restricted stock units, which convert into common stock on a one-for-one basis, vest on 1/9/2018, subject to continuous service as a member of the board of directors.
- F2Each 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.