SEC Form 4 · accession 0000891839-17-000123

EASTMAN KODAK CO · KODK

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

Reporting owner

Eric Samuels

Officer — CAO and Corp. Controller

Period of report

Sep 3, 2017

Accepted (ET)

Sep 6, 2017 · 4:20 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^F1	Sep 3, 2017	M	2,104	$0.00	A	5,009	D
Common Stock, par value $.01^F2	Sep 3, 2017	F	778	$7.80	D	4,231	D
Common Stock, par value $.01^F3	Sep 3, 2017	M	3,633	$0.00	A	7,864	D
Common Stock, par value $.01^F2	Sep 3, 2017	F	1,344	$7.80	D	6,520	D
Common Stock, par value $.01^F4	Sep 3, 2017	M	3,209	$0.00	A	9,729	D
Common Stock, par value $.01^F2	Sep 3, 2017	F	1,187	$7.80	D	8,542	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	Sep 3, 2017	M	2,104	D	—	Sep 3, 2017	Common Stock, par value $.01	2,104	0	D
Restricted Stock Units^F3	$0.00	Sep 3, 2017	M	3,633	D	—	Sep 3, 2018	Common Stock, par value $.01	3,633	3,636	D
Restricted Stock Units^F4	$0.00	Sep 3, 2017	M	3,209	D	—	Sep 3, 2019	Common Stock, par value $.01	3,209	6,419	D
Restricted Stock Units^F5	$0.00	holding	—	—	—	—	Mar 21, 2020	Common Stock, par value $.01	4,505	4,505	D
Stock Option (Right to Buy)^F6	$23.78	holding	—	—	—	—	Sep 2, 2021	Common Stock, par value $.01	19,012	19,012	D
Stock Option (Right to Buy)^F7	$13.76	holding	—	—	—	—	Sep 2, 2022	Common Stock, par value $.01	26,087	26,087	D
Stock Option (Right to Buy)^F8	$15.58	holding	—	—	—	—	Sep 2, 2023	Common Stock, par value $.01	25,467	25,467	D
Stock Option (Right to Buy)^F9	$11.10	holding	—	—	—	—	Mar 20, 2024	Common Stock, par value $.01	11,161	11,161	D
125% Warrants to purchase Common Stock, par value $.01^F10	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	8	8	D
135% Warrants to purchase Common Stock, par value $.01^F10	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	8	8	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 9/3/2014 grant date.
F10Each 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 on 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 9/3/2015 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 9/3/2016 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 3/21/2017 grant date.
F6This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.
F7This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.
F8This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date.
F9This option vests one-third on each of the first three anniversaries of the 3/21/2017 grant date.