0000891839-16-000194.txt : 20160419 0000891839-16-000194.hdr.sgml : 20160419 20160419162604 ACCESSION NUMBER: 0000891839-16-000194 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160415 FILED AS OF DATE: 20160419 DATE AS OF CHANGE: 20160419 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: Kruchten Brad CENTRAL INDEX KEY: 0001467811 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 161579390 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-04-15 0000031235 EASTMAN KODAK CO KODK 0001467811 Kruchten Brad EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 Senior Vice President Common Stock, par value $.01 2016-04-15 4 S 0 3400 11.1414 D 13951 D Common Stock, par value $.01 90 I By Spouse Restricted Stock Units 0 2016-09-03 2016-09-03 Common Stock, par value $.01 9236 9236 D Restricted Stock Units 0 2017-09-03 Common Stock, par value $.01 11775 11775 D Restricted Stock Units 0 2018-09-03 Common Stock, par value $.01 30524 30524 D Restricted Stock Units 0 2018-08-24 Common Stock, par value $.01 7305 7305 I By Spouse Stock Option (Right to Buy) 23.78 2021-09-02 Common Stock, par value $.01 53232 53232 D Stock Option (Right to Buy) 13.76 2022-09-03 Common Stock, par value $.01 73044 73044 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 943 943 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 943 943 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2013-09-03 Common Stock, par value $.01 31 31 I By Spouse 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 31 31 I By Spouse This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Kruchten on 11/9/15. These restricted stock units convert into common stock on a one-for-one basis. These 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 9/3/14 grant date. These 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 9/3/15 grant date. These 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 8/24/15 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date. Each of these Warrants entitles the holder to purchase one share of common stock; however for each Warrant exercised, the holder will receive a net share amount equal to the number of shares issuable upon the exercise multiplied by the closing sale price of our common stock on the exercise date minus the exercise price, divided by the closing sale price, together with cash for any fractional shares. /s/ Sharon E. Underberg, Attorney-in-fact for Brad W. Kruchten 2016-04-19