SEC Form 4 · accession 0000891839-18-000104
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Joseph Payne
Officer — Vice President
Period of report
Nov 15, 2018
Accepted (ET)
Nov 19, 2018 · 4:39 pm EST
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 | Nov 15, 2018 | M | 1,918 | $0.00 | A | 3,142 | D | |
| Common Stock, par value $.01F2 | Nov 15, 2018 | F | 652 | $3.95 | D | 2,490 | 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 UnitsF3 | $0.00 | Nov 15, 2018 | M | 1,918 | D | — | Nov 15, 2019 | Common Stock, par value $.01 | 1,918 | 1,921 | D |
| Stock Option (Right to Buy)F4 | $15.20 | holding | — | — | — | — | Nov 14, 2023 | Common Stock, par value $.01 | 14,345 | 14,345 | D |
| Stock Option (Right to Buy)F5 | $12.50 | holding | — | — | — | — | Sep 13, 2024 | Common Stock, par value $.01 | 152,285 | 152,285 | D |
Explanation of responses
- F1These restricted stock units convert into common stock on a one-for-one basis.
- 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 11/15/2016 grant date.
- F4This option vests one-third on each of the first three anniversaries of the 11/15/2016 grant date.
- F5This option vests one-third on each of the first three anniversaries of the 9/14/2017 grant date.