SEC Form 4 · accession 0000891839-18-000080
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
Sep 3, 2018
Accepted (ET)
Sep 5, 2018 · 4:34 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 | 3,636 | $0.00 | A | 12,004 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2018 | F | 1,234 | $3.25 | D | 10,770 | D | |
| Common Stock, par value $.01F3 | Sep 3, 2018 | M | 3,209 | $0.00 | A | 13,979 | D | |
| Common Stock, par value $.01F2 | Sep 3, 2018 | F | 1,089 | $3.25 | D | 12,890 | 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 | 3,636 | D | — | Sep 3, 2018 | Common Stock, par value $.01 | 3,636 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Sep 3, 2018 | M | 3,209 | D | — | Sep 3, 2019 | Common Stock, par value $.01 | 3,209 | 3,210 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | Mar 21, 2020 | Common Stock, par value $.01 | 3,004 | 3,004 | D |
| Stock Option (Right to Buy)F5 | $23.78 | holding | — | — | — | — | Sep 2, 2021 | Common Stock, par value $.01 | 19,012 | 19,012 | D |
| Stock Option (Right to Buy)F6 | $13.76 | holding | — | — | — | — | Sep 2, 2022 | Common Stock, par value $.01 | 26,087 | 26,087 | D |
| Stock Option (Right to Buy)F7 | $15.58 | holding | — | — | — | — | Sep 2, 2023 | Common Stock, par value $.01 | 25,467 | 25,467 | D |
| Stock Option (Right to Buy)F8 | $11.10 | holding | — | — | — | — | Mar 20, 2024 | Common Stock, par value $.01 | 11,161 | 11,161 | D |
| Stock Option (Right to Buy)F9 | $12.50 | holding | — | — | — | — | Sep 13, 2024 | Common Stock, par value $.01 | 101,523 | 101,523 | 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 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 9/3/2016 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 3/21/2017 grant 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 each of the first three anniversaries of the 3/21/2017 grant date.
- F9This option vests one-third on each of the first three anniversaries of the 9/14/2017 grant date.