SEC Form 4 · accession 0000891839-17-000056

EASTMAN KODAK CO · KODK

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

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Eric-Yves Mahe

Officer — Senior Vice President

Period of report

Apr 28, 2017

Accepted (ET)

May 2, 2017 · 4:48 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
Common Stock, par value $.01	Apr 28, 2017	M	4,995	$0.00	A	11,168	D
Common Stock, par value $.01	Apr 28, 2017	M	2,038	$0.00	A	13,206	D
Common Stock, par value $.01	Apr 28, 2017	M	4,734	$0.00	A	17,940	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 Units	$0.00	Apr 28, 2017	M	4,995	D	Apr 28, 2017	Apr 28, 2017	Common Stock, par value $.01	4,995	0	D
Restricted Stock Units^F1	$0.00	Apr 28, 2017	M	2,038	D	—	Apr 28, 2018	Common Stock, par value $.01	2,038	2,040	D
Restricted Stock Units^F3	$0.00	Apr 28, 2017	M	4,734	D	—	Apr 28, 2019	Common Stock, par value $.01	4,734	9,471	D
Restricted Stock Units^F4	$0.00	Apr 28, 2017	A	15,910	A	—	Apr 28, 2020	Common Stock, par value $.01	15,910	15,910	D
Stock Option (Right to Buy)^F8	$11.00	Apr 28, 2017	A	0	A	—	Apr 27, 2024	Common Stock, par value $.01	0	0	D
Restricted Stock Units^F2	$0.00	holding	—	—	—	—	May 12, 2018	Common Stock, par value $.01	1,858	1,858	D
Stock Option (Right to Buy)^F5	$20.44	holding	—	—	—	—	Apr 27, 2022	Common Stock, par value $.01	17,508	17,508	D
Stock Option (Right to Buy)^F6	$17.95	holding	—	—	—	—	May 11, 2022	Common Stock, par value $.01	7,003	7,003	D
Stock Option (Right to Buy)^F7	$12.32	holding	—	—	—	—	Apr 27, 2023	Common Stock, par value $.01	33,461	33,461	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 4/28/2015 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 5/12/2015 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 4/28/2016 grant date.
F4These 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 or Mr. Mahe's employment agreement, vest one-third on each of the first three anniversaries of the 4/28/2017 grant date.
F5This option vests one-third on each of the first three anniversaries of the 4/28/2015 grant date.
F6This option vests one-third on each of the first three anniversaries of the 5/12/2015 grant date.
F7This option vests one-third on each of the first three anniversaries of the 4/28/2016 grant date.
F8This option was 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 or Mr. Mahe's employment agreement, vests one-third on each of the first three anniversaries of the 4/28/2017 grant date. The number of shares underlying the option canot be determined at this time, but will be based on $175,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Mahe will file an amendment to this report.