SEC Form 4 · accession 0000891839-19-000014
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey D. Engelberg
Director
Period of report
Jan 8, 2019
Accepted (ET)
Jan 10, 2019 · 4:34 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 | Jan 8, 2019 | M | 48,388 | $0.00 | A | 63,388 | D | |
| Common Stock, par value $.01F2 | holding | — | — | — | 960,000 | I | See footnote |
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 | Jan 8, 2019 | M | 48,388 | D | Jan 8, 2019 | Jan 8, 2019 | Common Stock, par value $.01 | 48,388 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | Jan 8, 2019 | A | 52,817 | A | — | — | Common Stock, par value $.01 | 52,817 | 52,817 | D |
| Series A Covertible Preferred StockF2,F4 | $17.40 | holding | — | — | — | — | — | Common Stock, par value $.01 | 574,710 | 100,000 | I |
Explanation of responses
- F1These restricted stock units convert into common stock on a one-for-one basis.
- F2These securities are owned directly by C2W Partners Master Fund Limited. Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W Partners Master Fund Limited. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W Partners Master Fund Limited and states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
- F3These 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 on 1/8/2020, subject to continuous service as a member of the board of directors.
- F4The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.