SEC Form 4 · accession 0000891839-17-000131

EASTMAN KODAK CO · KODK

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

Reporting owner

Officer — Senior Vice President

Period of report

Sep 14, 2017

Accepted (ET)

Sep 18, 2017 · 4:42 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	holding	—	—		—	29,863	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F6	$12.50	Sep 14, 2017	A	182,742	A	—	Sep 13, 2024	Common Stock, par value $.01	182,742	182,742	D
Restricted Stock Units^F1	$0.00	holding	—	—	—	—	Sep 3, 2018	Common Stock, par value $.01	5,271	5,271	D
Restricted Stock Units^F2	$0.00	holding	—	—	—	—	Sep 3, 2019	Common Stock, par value $.01	9,308	9,308	D
Stock Option (Right to Buy)^F3	$23.78	holding	—	—	—	—	Sep 2, 2021	Common Stock, par value $.01	27,567	27,567	D
Stock Option (Right to Buy)^F4	$13.76	holding	—	—	—	—	Sep 2, 2022	Common Stock, par value $.01	37,827	37,827	D
Stock Option (Right to Buy)^F5	$15.58	holding	—	—	—	—	Sep 2, 2023	Common Stock, par value $.01	36,927	36,927	D
125% Warrants to purchase Common Stock, par value $.01^F7	$14.93	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	611	611	D
135% Warrants to purchase Common Stock, par value $.01^F7	$16.12	holding	—	—	—	Sep 3, 2013	Sep 3, 2018	Common Stock, par value $.01	611	611	D

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 9/3/2015 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 9/3/2016 grant date.
F3This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.
F4This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.
F5This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date.
F6This option was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and vests one-third on each of the first three anniversaries of the 9/14/2017 grant date.
F7Each 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.