SEC Form 4 · accession 0000891839-17-000147

EASTMAN KODAK CO · KODK

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

Reporting owner

Sharon E. Underberg

Officer — General Counsel, Sec., SVP

Period of report

Dec 15, 2017

Accepted (ET)

Dec 19, 2017 · 4:41 pm EST

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	Dec 15, 2017	M	3,293	$0.00	A	12,416	D
Common Stock, par value $.01^F2	Dec 15, 2017	F	1,218	$3.35	D	11,198	D
Common Stock, par value $.01^F1	Dec 15, 2017	M	5,278	$0.00	A	16,476	D
Common Stock, par value $.01^F2	Dec 15, 2017	F	1,952	$3.35	D	14,524	D
Common Stock, par value $.01^F1	Dec 15, 2017	M	5,096	$0.00	A	19,620	D
Common Stock, par value $.01^F2	Dec 15, 2017	F	1,894	$3.35	D	17,726	D
Common Stock, par value $.01	holding	—	—		—	150	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 Units^F1	$0.00	Dec 15, 2017	M	3,293	D	—	Dec 15, 2017	Common Stock, par value $.01	3,293	0	D
Restricted Stock Units^F3	$0.00	Dec 15, 2017	M	5,278	D	—	Dec 15, 2018	Common Stock, par value $.01	5,278	5,280	D
Restricted Stock Units^F4	$0.00	Dec 15, 2017	M	5,096	D	—	Dec 15, 2019	Common Stock, par value $.01	5,096	10,195	D
Restricted Stock Units^F5	$0.00	Dec 15, 2017	A	74,627	A	—	Dec 15, 2020	Common Stock, par value $.01	74,627	74,627	D
Stock Option (Right to Buy)^F9	$3.35	Dec 15, 2017	A	174,826	A	—	Dec 14, 2024	Common Stock, par value $.01	174,826	174,826	D
Stock Option (Right to Buy)^F6	$20.25	holding	—	—	—	—	Dec 14, 2021	Common Stock, par value $.01	27,286	27,286	D
Stock Option (Right to Buy)^F7	$12.63	holding	—	—	—	—	Dec 14, 2022	Common Stock, par value $.01	39,604	39,604	D
Stock Option (Right to Buy)^F8	$16.35	holding	—	—	—	—	Dec 14, 2023	Common Stock, par value $.01	37,538	37,538	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	314	314	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	314	314	D

Explanation of responses

F1These restricted stock units convert into common stock on a one-for-one basis.
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 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 12/15/2015 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 12/15/2016 grant date.
F5These 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 vest one-third on each of the first three anniversaries of the 12/15/2017 grant date.
F6This option vests one-third on each of the first three anniversaries of the 12/15/2014 grant date.
F7This option vests one-third on each of the first three anniversaries of the 12/15/2015 grant date.
F8This option vests one-third on each of the first three anniversaries of the 12/15/2016 grant date.
F9This 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 12/15/2017 grant date.