SEC Form 4 · accession 0000891839-17-000124
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
Sep 3, 2017
Accepted (ET)
Sep 6, 2017 · 4:23 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 $.01F1 | Sep 3, 2017 | M | 5,888 | $0.00 | A | 16,083 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2017 | F | 2,177 | $7.80 | D | 13,906 | D | |
| Common Stock, par value $.01F3 | Sep 3, 2017 | M | 10,174 | $0.00 | A | 24,080 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2017 | F | 3,762 | $7.80 | D | 20,318 | D | |
| Common Stock, par value $.01F4 | Sep 3, 2017 | M | 8,985 | $0.00 | A | 29,303 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2017 | F | 3,322 | $7.80 | D | 25,981 | D | |
| Common Stock, par value $.01 | holding | — | — | — | 1,628 | I | By Spouse |
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 | Sep 3, 2017 | M | 5,888 | D | — | Sep 3, 2017 | Common Stock, par value $.01 | 5,888 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Sep 3, 2017 | M | 10,174 | D | — | Sep 3, 2018 | Common Stock, par value $.01 | 10,174 | 10,176 | D |
| Restricted Stock UnitsF4 | $0.00 | Sep 3, 2017 | M | 8,985 | D | — | Sep 3, 2019 | Common Stock, par value $.01 | 8,985 | 17,973 | D |
| Restricted Stock UnitsF5 | $0.00 | holding | — | — | — | — | Sep 3, 2020 | Common Stock, par value $.01 | 27,632 | 27,632 | D |
| Restricted Stock UnitsF6 | $0.00 | holding | — | — | — | — | Aug 24, 2018 | Common Stock, par value $.01 | 2,437 | 2,437 | I |
| 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 $.01F11 | $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 $.01F11 | $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 $.01F11 | $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 $.01F11 | $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 9/3/14 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 9/3/15 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 9/3/16 grant date.
- F5These 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.
- F6These 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.
- 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.