SEC Form 4 · accession 0000891839-18-000023
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
Mar 21, 2018
Accepted (ET)
Mar 23, 2018 · 4:41 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 | Mar 21, 2018 | M | 1,501 | $0.00 | A | 8,958 | D | |
| Common Stock, par value $.01F2 | Mar 21, 2018 | F | 590 | $5.30 | D | 8,368 | 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 UnitsF5 | $0.00 | Mar 21, 2018 | M | 1,501 | D | — | Mar 21, 2020 | Common Stock, par value $.01 | 1,501 | 3,004 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | Sep 3, 2018 | Common Stock, par value $.01 | 3,636 | 3,636 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | Sep 3, 2019 | Common Stock, par value $.01 | 6,419 | 6,419 | 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 |
| Stock Option (Right to Buy)F10 | $12.50 | holding | — | — | — | — | Sep 13, 2024 | Common Stock, par value $.01 | 101,523 | 101,523 | D |
| 125% Warrants to purchase Common Stock, par value $.01F11 | $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 $.01F11 | $16.12 | holding | — | — | — | Sep 3, 2013 | Sep 3, 2018 | Common Stock, par value $.01 | 8 | 8 | D |
Explanation of responses
- F1These restricted stock units convert into common stock on a one-for-one basis.
- F10This option vests one-third on each of the first three anniversaries of the 9/14/2017 grant 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 9/3/2015 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.