SEC Form 4 · accession 0000891839-17-000121

EASTMAN KODAK CO · KODK

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

Reporting owner

Brad Kruchten

Officer — Senior Vice President

Period of report

Aug 24, 2017

Accepted (ET)

Aug 28, 2017 · 4:16 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^F1	Aug 24, 2017	M	2,434	$0.00	A	2,524	I	By Spouse
Common Stock, par value $.01^F2	Aug 24, 2017	F	896	$7.95	D	1,628	I	By Spouse
Common Stock, par value $.01	holding	—	—		—	10,195	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^F1	$0.00	Aug 24, 2017	M	2,434	D	—	Aug 24, 2018	Common Stock, par value $.01	2,434	2,437	I
Restricted Stock Units^F3	$0.00	holding	—	—	—	—	Sep 3, 2017	Common Stock, par value $.01	5,888	5,888	D
Restricted Stock Units^F4	$0.00	holding	—	—	—	—	Sep 3, 2018	Common Stock, par value $.01	20,350	20,350	D
Restricted Stock Units^F5	$0.00	holding	—	—	—	—	Sep 3, 2019	Common Stock, par value $.01	26,958	26,958	D
Restricted Stock Units^F6	$0.00	holding	—	—	—	—	Sep 3, 2020	Common Stock, par value $.01	27,632	27,632	D
Stock Option (Right to Buy)^F7	$23.78	holding	—	—	—	—	Sep 2, 2021	Common Stock, par value $.01	53,232	53,232	D
Stock Option (Right to Buy)^F8	$13.76	holding	—	—	—	—	Sep 2, 2022	Common Stock, par value $.01	73,044	73,044	D
Stock Option (Right to Buy)^F9	$15.58	holding	—	—	—	—	Sep 2, 2023	Common Stock, par value $.01	71,308	71,308	D
Stock Option (Right to Buy)^F10	$15.20	holding	—	—	—	—	Nov 14, 2023	Common Stock, par value $.01	65,935	65,935	D
125% Warrants to purchase Common Stock, par value $.01^F11	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	943	943	D
135% Warrants to purchase Common Stock, par value $.01^F11	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	943	943	D
125% Warrants to purchase Common Stock, par value $.01^F11	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	31	31	I
135% Warrants to purchase Common Stock, par value $.01^F11	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	31	31	I

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 8/24/15 grant date.
F10This option vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date.
F11Each 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.
F2Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.
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 9/3/14 grant date.
F4These 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.
F5These 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.
F6These 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.
F7This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date.
F8This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date.
F9This option vests one-third on each of the first three anniversaries of the 9/3/16 grant date.