SEC Form 4 · accession 0000891839-19-000025
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger W. Byrd
Officer — General Counsel, Sec., SVP
Period of report
Jan 16, 2019
Accepted (ET)
Jan 18, 2019 · 4:30 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 | — | — | — | 3,000 | 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 | Jan 16, 2019 | A | 56,635 | A | — | Jan 16, 2022 | Common Stock, par value $.01 | 56,635 | 56,635 | D |
| Stock Option (Right to Buy)F3 | $3.09 | Jan 16, 2019 | A | 89,744 | A | — | Jan 15, 2026 | Common Stock, par value $.01 | 89,744 | 89,744 | D |
| Stock Option (Right to Buy)F2 | $12.50 | holding | — | — | — | — | Sep 13, 2024 | Common Stock, par value $.01 | 30,457 | 30,457 | D |
Explanation of responses
- F1These 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 vest one-third on each of the first three anniversaries of the 1/16/2019 grant date.
- F2This option vests one-third on each of the first three anniversaries of the 9/14/2017 grant date.
- F3This option was granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and vests one-third on each of the first three anniversaries of the 1/16/2019 grant date.