SEC Form 4 · accession 0000891839-18-000097
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Overman
Officer — Senior Vice President
Period of report
Oct 1, 2018
Accepted (ET)
Oct 3, 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 $.01F1 | Oct 1, 2018 | M | 3,774 | $0.00 | A | 23,884 | D | |
| Common Stock, par value $.01F2 | Oct 1, 2018 | F | 1,774 | $2.85 | D | 22,110 | D | |
| Common Stock, par value $.01F3 | Oct 1, 2018 | M | 3,888 | $0.00 | A | 25,998 | D | |
| Common Stock, par value $.01F2 | Oct 1, 2018 | F | 1,828 | $2.85 | D | 24,170 | D | |
| Common Stock, par value $.01F4 | Oct 1, 2018 | M | 7,936 | $0.00 | A | 32,106 | D | |
| Common Stock, par value $.01F2 | Oct 1, 2018 | F | 3,730 | $2.85 | D | 28,376 | 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 | Oct 1, 2018 | M | 3,774 | D | — | Oct 1, 2018 | Common Stock, par value $.01 | 3,774 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Oct 1, 2018 | M | 3,888 | D | — | Oct 1, 2019 | Common Stock, par value $.01 | 3,888 | 3,891 | D |
| Restricted Stock UnitsF4 | $0.00 | Oct 1, 2018 | M | 7,936 | D | — | Oct 1, 2020 | Common Stock, par value $.01 | 7,936 | 15,874 | D |
| Restricted Stock UnitsF5 | $0.00 | Oct 1, 2018 | A | 61,404 | A | — | Oct 1, 2021 | Common Stock, par value $.01 | 61,404 | 61,404 | D |
| Stock Option (Right to Buy)F9 | $2.85 | Oct 1, 2018 | A | 97,223 | A | — | Sep 30, 2025 | Common Stock, par value $.01 | 97,223 | 97,223 | D |
| Stock Option (Right to Buy)F6 | $15.46 | holding | — | — | — | — | Sep 30, 2022 | Common Stock, par value $.01 | 27,090 | 27,090 | D |
| Stock Option (Right to Buy)F7 | $15.00 | holding | — | — | — | — | Sep 30, 2023 | Common Stock, par value $.01 | 30,069 | 30,069 | D |
| Stock Option (Right to Buy)F8 | $7.35 | holding | — | — | — | — | Sep 30, 2024 | Common Stock, par value $.01 | 58,923 | 58,923 | 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 10/1/2015 grant date.
- F2Shares withheld to cover withholding obligations upon 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 10/1/2016 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 10/1/2017 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 10/1/2018 grant date.
- F6This option vests one-third on each of the first three anniversaries of the 10/1/2015 grant date.
- F7This option vests one-third on each of the first three anniversaries of the 10/1/2016 grant date.
- F8This option vests one-third on each of the first three anniversaries of the 10/1/2017 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 grant date.