SEC Form 4 · accession 0000891839-18-000071

EASTMAN KODAK CO · KODK

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

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Eric-Yves Mahe

Officer — Senior Vice President

Period of report

Jun 11, 2018

Accepted (ET)

Jun 12, 2018 · 4:35 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	—	—		—	31,875	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^F4	$0.00	Jun 11, 2018	A	19,231	A	—	Jun 11, 2021	Common Stock, par value $.01	19,231	19,231	D
Stock Option (Right to Buy)^F10	$5.20	Jun 11, 2018	A	0	A	—	Jun 10, 2025	Common Stock, par value $.01	0	0	D
Restricted Stock Units^F1	$0.00	holding	—	—	—	—	Apr 28, 2019	Common Stock, par value $.01	4,737	4,737	D
Restricted Stock Units^F2	$0.00	holding	—	—	—	—	Apr 28, 2020	Common Stock, par value $.01	10,607	10,607	D
Restricted Stock Units^F3	$0.00	holding	—	—	—	—	Apr 28, 2021	Common Stock, par value $.01	34,314	34,314	D
Stock Option (Right to Buy)^F5	$20.44	holding	—	—	—	—	Apr 27, 2022	Common Stock, par value $.01	17,508	17,508	D
Stock Option (Right to Buy)^F6	$17.95	holding	—	—	—	—	May 11, 2022	Common Stock, par value $.01	7,003	7,003	D
Stock Option (Right to Buy)^F7	$12.32	holding	—	—	—	—	Apr 27, 2023	Common Stock, par value $.01	33,461	33,461	D
Stock Option (Right to Buy)^F8	$11.00	holding	—	—	—	—	Apr 27, 2024	Common Stock, par value $.01	39,683	39,683	D
Stock Option (Right to Buy)^F9	$5.10	holding	—	—	—	—	Apr 27, 2025	Common Stock, par value $.01	53,847	53,847	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 4/28/2016 grant date.
F10This option was granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice or Mr. Mahe's employment agreement, vests one-third on each of the first three anniversaries of the 6/11/2018 grant date. The number of shares underlying the option cannot be determined at this time, but will be based on $100,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Mahe will file an amendment to this report.
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 4/28/2017 grant date.
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 4/28/2018 grant date.
F4These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice or Mr. Mahe's employment agreement, vest one-third on each of the first three anniversaries of the 6/11/2018 grant date.
F5This option vests one-third on each of the first three anniversaries of the 4/28/2015 grant date.
F6This option vests one-third on each of the first three anniversaries of the 5/12/2015 grant date.
F7This option vests one-third on each of the first three anniversaries of the 4/28/2016 grant date.
F8This option vests one-third on each of the first three anniversaries of the 4/28/2017 grant date.
F9This option vests one-third on each of the first three anniversaries of the 4/28/2018 grant date.