SEC Form 4 · accession 0000899243-16-031851
EASTMAN KODAK CO · KODK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
GSO Special Situations Fund LP
10% Owner
Period of report
May 1, 2015
Accepted (ET)
Oct 18, 2016 · 5:00 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 StockF1,F2,F4,F5,F6,F7 | May 1, 2015 | J | 3,145,099 | $19.37 | D | 0 | D | |
| Common StockF1,F3,F4,F5,F6,F7 | May 1, 2015 | J | 2,958,768 | $19.37 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 125% WarrantsF1,F2,F4,F5,F6,F7 | $14.93 | May 1, 2015 | J | 41,721 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock | 41,721 | 0 | D |
| 135% WarrantsF1,F3,F4,F5,F6,F7 | $16.12 | May 1, 2015 | J | 38,851 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock | 38,851 | 0 | D |
| 125% WarrantsF1,F2,F4,F5,F6,F7 | $14.93 | May 1, 2015 | J | 41,721 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock | 41,721 | 0 | D |
| 135% WarrantsF1,F3,F4,F5,F6,F7 | $16.12 | May 1, 2015 | J | 38,851 | D | Sep 3, 2013 | Sep 3, 2018 | Common Stock | 38,851 | 0 | D |
Explanation of responses
- F1Represents securities transferred to GSO Special Situations Master Fund LP. GSO Special Situations LP and GSO Special Situations Overseas Master Fund Ltd. are the sole limited partners of GSO Special Situations Master Fund LP.
- F2Reflects securities previously held directly by GSO Special Situations Fund LP.
- F3Reflects securities previously held directly by GSO Special Situations Overseas Master Fund Ltd. GSO Special Situations Overseas Master Fund Ltd. is a wholly-owned subsidiary of GSO Special Situations Overseas Fund Ltd. (collectively with GSO Special Situations Master Fund LP, GSO Special Situations Fund LP and GSO Special Situations Overseas Master Fund Ltd., the "GSO Funds").
- F4GSO Capital Partners LP is the investment manager or advisor of each of GSO Special Situations LP, GSO Special Situations Overseas Master Fund Ltd., GSO Special Situations Overseas Master Fund Ltd. and GSO Special Situations Master Fund LP.
- F5GSO Advisor Holdings L.L.C. is a special limited partner of GSO Capital Partners LP with investment and voting power over the securities beneficially owned by GSO Capital Partners LP. Blackstone Holdings I L.P. is the sole member of GSO Advisor Holdings L.L.C. Blackstone Holdings I/II GP Inc. is the general partner of Blackstone Holdings I L.P. The Blackstone Group L.P. is the controlling shareholder of Blackstone Holdings I/II GP Inc. Blackstone Group Management L.L.C. is the general partner of The Blackstone Group L.P. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman. In addition, each of Bennett J. Goodman and J. Albert Smith III may be deemed to have shared voting, investment and/or dispositive power with respect to the securities held by the GSO Funds.
- F6Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.
- F7Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.