0000891839-16-000256.txt : 20160907 0000891839-16-000256.hdr.sgml : 20160907 20160907193800 ACCESSION NUMBER: 0000891839-16-000256 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160903 FILED AS OF DATE: 20160907 DATE AS OF CHANGE: 20160907 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: 161874543 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-09-03 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 2016-09-03 4 M 0 9236 0 A 17088 D Common Stock, par value $.01 2016-09-03 4 F 0 3415 15.58 D 13673 D Common Stock, par value $.01 2016-09-03 4 M 0 5887 0 A 19560 D Common Stock, par value $.01 2016-09-03 4 F 0 2177 15.58 D 17383 D Common Stock, par value $.01 2016-09-03 4 M 0 10174 0 A 27557 D Common Stock, par value $.01 2016-09-03 4 F 0 3762 15.58 D 23795 D Common Stock, par value $.01 1624 I By Spouse Restricted Stock Units 0 2016-09-03 4 M 0 9236 0 D 2016-09-03 2016-09-03 Common Stock, par value $.01 9236 0 D Restricted Stock Units 0 2016-09-03 4 M 0 5887 0 D 2017-09-03 Common Stock, par value $.01 5887 5888 D Restricted Stock Units 0 2016-09-03 4 M 0 10174 0 D 2018-09-03 Common Stock, par value $.01 10174 20350 D Restricted Stock Units 0 2018-08-24 Common Stock, par value $.01 4871 4871 I By Spouse Restricted Stock Units 0 2016-09-03 4 A 0 26958 0 A 2019-09-03 Common Stock, par value $.01 26958 26958 D 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 Stock Option (Right to Buy) 15.58 2016-09-03 4 A 0 0 0 A 2023-09-03 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 $.01 943 943 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 2018-09-03 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 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, 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. These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and vest one-third on each of the first three anniversaries of the 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. This option was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and vests one-third on each of the first three anniversaries of the grant date. The number of shares underlying the option cannot be determined at this time, but will be based on $420,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Kruchten will file an amendment to this report. 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 the 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 2016-09-07