SEC Form 4 · accession 0000891839-18-000079
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John G. O'Grady
Officer — Senior Vice President
Period of report
Sep 3, 2018
Accepted (ET)
Sep 5, 2018 · 4:33 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, 2018 | M | 3,514 | $0.00 | A | 10,855 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2018 | F | 1,067 | $3.25 | D | 9,788 | D | |
| Common Stock, par value $.01F3 | Sep 3, 2018 | M | 3,744 | $0.00 | A | 13,532 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2018 | F | 1,137 | $3.25 | D | 12,395 | D | |
| Common Stock, par value $.01F4 | Sep 3, 2018 | M | 5,482 | $0.00 | A | 17,877 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2018 | F | 1,664 | $3.25 | D | 16,213 | 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 UnitsF1 | $0.00 | Sep 3, 2018 | M | 3,514 | D | — | Sep 3, 2018 | Common Stock, par value $.01 | 3,514 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Sep 3, 2018 | M | 3,744 | D | — | Sep 3, 2019 | Common Stock, par value $.01 | 3,744 | 3,745 | D |
| Restricted Stock UnitsF4 | $0.00 | Sep 3, 2018 | M | 5,482 | D | — | Sep 3, 2020 | Common Stock, par value $.01 | 5,482 | 10,966 | D |
| Stock Option (Right to Buy)F5 | $23.78 | holding | — | — | — | — | Sep 2, 2021 | Common Stock, par value $.01 | 18,378 | 18,378 | D |
| Stock Option (Right to Buy)F6 | $13.76 | holding | — | — | — | — | Sep 2, 2022 | Common Stock, par value $.01 | 25,218 | 25,218 | D |
| Stock Option (Right to Buy)F7 | $15.58 | holding | — | — | — | — | Sep 2, 2023 | Common Stock, par value $.01 | 29,712 | 29,712 | D |
| Stock Option (Right to Buy)F8 | $15.20 | holding | — | — | — | — | Nov 14, 2023 | Common Stock, par value $.01 | 39,247 | 39,247 | 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 9/3/2015 grant date.
- F2Shares withheld to cover tax withholding obligations on 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 9/3/2016 grant date.
- F4These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on 9/3/2018 and one-third on each of the first two anniversaries of such date.
- F5This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.
- F6This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.
- F7This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date.
- F8This option vests one-third on 9/3/2018 and one-third on each of the first two anniversaries of such date.