0000891839-14-000096.txt : 20140905 0000891839-14-000096.hdr.sgml : 20140905 20140905171555 ACCESSION NUMBER: 0000891839-14-000096 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140903 FILED AS OF DATE: 20140905 DATE AS OF CHANGE: 20140905 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EASTMAN KODAK CO CENTRAL INDEX KEY: 0000031235 STANDARD INDUSTRIAL CLASSIFICATION: PHOTOGRAPHIC EQUIPMENT & SUPPLIES [3861] IRS NUMBER: 160417150 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 343 STATE ST CITY: ROCHESTER STATE: NY ZIP: 14650-0910 BUSINESS PHONE: 7167244000 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sheller Patrick M CENTRAL INDEX KEY: 0001539134 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 141086675 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-09-03 0000031235 EASTMAN KODAK CO KODK 0001539134 Sheller Patrick M EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 Senior Vice President Common Stock, par value $.01 2014-09-03 4 M 0 7077 0 A 7290 D Common Stock, par value $.01 2014-09-03 4 F 0 2628 23.78 D 4662 D Restricted Stock Units 0 2014-09-03 4 M 0 7077 0 D 2016-09-03 Common Stock, par value $.01 7077 14155 D Restricted Stock Units 0 2014-09-03 4 A 0 12717 0 A 2017-09-03 Common Stockl, par value $.01 12717 12717 D Stock Option (Right to Buy) 23.78 2014-09-03 4 A 0 0 0 A 2021-09-02 Common Stock, par value $.01 0 0 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 73 73 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 73 73 D These restricted stock units convert into common stock on a one-for-one basis. Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units. These restricted stock units vest one-third on each of the first three anniversaries of the 9/3/13 grant date. These restricted stock units, which convert into common stock on a one-to-one basis, were granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of the first three anniversaries of the grant date, subject to Mr. Sheller's continuous employment with the Company. This option was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests one-third on each of the first three anniversaries of the grant date, subject to Mr. Sheller's continuous employment with the Company. The number of shares underlying the option cannot be determined at this time, but will be based on $302,400 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Sheller will file an amendment to this report. /s/ Patrick M. Sheller 2014-09-05