0000891839-16-000281.txt : 20161117
0000891839-16-000281.hdr.sgml : 20161117
20161117181035
ACCESSION NUMBER: 0000891839-16-000281
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161115
FILED AS OF DATE: 20161117
DATE AS OF CHANGE: 20161117
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: 162006010
MAIL ADDRESS:
STREET 1: 343 STATE STREET
CITY: ROCHESTER
STATE: NY
ZIP: 14650
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-11-15
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
20395
D
Common Stock, par value $.01
2016-11-16
4
S
0
1534
15.50
D
90
I
By Spouse
Restricted Stock Units
0
2017-09-03
Common Stock, par value $.01
5888
5888
D
Restricted Stock Units
0
2018-09-03
Common Stock, par value $.01
20350
20350
D
Restricted Stock Units
0
2019-09-03
Common Stock, par value $.01
26958
26958
D
Restricted Stock Units
0
2016-11-15
4
A
0
27632
0
A
2020-09-03
Common Stock, par value $.01
27632
27632
D
Restricted Stock Units
0
2018-08-24
Common Stock, par value $.01
4871
4871
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
2022-09-02
Common Stock, par value $.01
73044
73044
D
Stock Option (Right to Buy)
15.58
2023-09-02
Common Stock, par value $.01
71308
71308
D
Stock Option (Right to Buy)
15.20
2016-11-15
4
A
0
0
0
A
2023-11-14
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, 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 9/3/16 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 9/3/18 and one-third on each of the first two anniversaries of such 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.
This option vests one-third on each of the first three anniversaries of the 9/3/16 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 9/3/18 and one-third on each of the first two anniversaries of such 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
2016-11-17