SEC Form 4 · accession 0000891839-18-000113
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
Terry R Taber
Officer — Senior Vice President
Period of report
Dec 4, 2018
Accepted (ET)
Dec 7, 2018 · 4:22 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 $.01 | holding | — | — | — | 36,415 | 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 UnitsF2 | $0.00 | Dec 4, 2018 | A | 23,077 | A | — | Sep 3, 2021 | Common Stock, par value $.01 | 23,077 | 23,077 | D |
| Stock Option (Right to Buy)F7 | $3.90 | Dec 4, 2018 | A | 36,586 | A | — | Dec 3, 2025 | Common Stock, par value $.01 | 36,586 | 36,586 | D |
| Restricted Stock UnitsF1 | $0.00 | holding | — | — | — | — | Sep 3, 2019 | Common Stock, par value $.01 | 4,655 | 4,655 | D |
| Stock Option (Right to Buy)F3 | $23.78 | holding | — | — | — | — | Sep 2, 2021 | Common Stock, par value $.01 | 27,567 | 27,567 | D |
| Stock Option (Right to Buy)F4 | $13.76 | holding | — | — | — | — | Sep 2, 2022 | Common Stock, par value $.01 | 37,827 | 37,827 | D |
| Stock Option (Right to Buy)F5 | $15.58 | holding | — | — | — | — | Sep 2, 2023 | Common Stock, par value $.01 | 36,927 | 36,927 | D |
| Stock Option (Right to Buy)F6 | $12.50 | holding | — | — | — | — | Sep 13, 2024 | Common Stock, par value $.01 | 182,742 | 182,742 | 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 9/3/2016 grant date.
- F2These 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, vest one-third on 9/3/2019 and one-third on each of the first two anniversaries of such date.
- F3This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.
- F4This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.
- F5This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date.
- F6This option vests one-third on each of the first three anniversaries of the 9/14/2017 grant date.
- F7This 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, vests one-third on 9/3/2019 and one-third on each of the first two anniversaries of such date.