0000891839-16-000257.txt : 20160907
0000891839-16-000257.hdr.sgml : 20160907
20160907194018
ACCESSION NUMBER: 0000891839-16-000257
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: O'Grady John G.
CENTRAL INDEX KEY: 0001668481
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00087
FILM NUMBER: 161874549
MAIL ADDRESS:
STREET 1: EASTMAN KODAK COMPANY
STREET 2: 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
0001668481
O'Grady John G.
EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER
NY
14650
0
1
0
0
GM, WW Sales, Vice President
Common Stock, par value $.01
2016-09-03
4
M
0
4434
0
A
5436
D
Common Stock, par value $.01
2016-09-03
4
F
0
1479
15.58
D
3957
D
Common Stock, par value $.01
2016-09-03
4
M
0
2032
0
A
5989
D
Common Stock, par value $.01
2016-09-03
4
F
0
678
15.58
D
5311
D
Common Stock, par value $.01
2016-09-03
4
M
0
3512
0
A
8823
D
Common Stock, par value $.01
2016-09-03
4
F
0
1172
15.58
D
7651
D
Restricted Stock Units
0
2016-09-03
4
M
0
4434
0
D
2016-09-03
2016-09-03
Common Stock, par value $.01
4434
0
D
Restricted Stock Units
0
2016-09-03
4
M
0
2032
0
D
2017-09-03
Common Stock, par value $.01
2032
2034
D
Restricted Stock Units
0
2016-09-03
4
M
0
3512
0
D
2018-09-03
Common Stock, par value
3512
7026
D
Restricted Stock Units
0
2016-09-03
4
A
0
9307
0
A
2019-09-03
Common Stock, par value
9307
9307
D
Stock Option (Right to Buy)
23.78
2021-09-02
Common Stock, par value $.01
18378
18378
D
Stock Option (Right to Buy)
13.76
2022-09-02
Common Stock, par value $.01
25218
25218
D
Stock Option (Right to Buy)
15.58
2016-09-03
4
A
0
0
0
A
2023-09-02
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
169
169
D
135% Warrants to purchase Common Stock, par value $.01
16.12
2013-09-03
2018-09-03
Common Stock, par value $.01
169
169
D
These restricted stock units convert into common stock on a one-for-one basis.
Shares withheld to cover tax withholding obligations on 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, 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 $145,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. O'Grady 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 John O'Grady
2016-09-07