0000891839-16-000287.txt : 20161216 0000891839-16-000287.hdr.sgml : 20161216 20161216173829 ACCESSION NUMBER: 0000891839-16-000287 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150518 FILED AS OF DATE: 20161216 DATE AS OF CHANGE: 20161216 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: Underberg Sharon E. CENTRAL INDEX KEY: 0001630353 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 162057263 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 2015-05-18 0000031235 EASTMAN KODAK CO KODK 0001630353 Underberg Sharon E. EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 General Counsel, Sec., SVP Common Stock, par value $.01 2015-05-18 4 G 0 300 0 A 300 I By Spouse Common Stock, par value $.01 2016-04-04 5 G 0 150 0 D 150 I By Spouse Common Stock, par value $.01 2016-12-15 4 M 0 3292 0 A 7015 D Common Stock, par value $.01 2016-12-15 4 F 0 1218 16.35 D 5797 D Common Stock, par value $.01 2016-12-15 4 M 0 5278 0 A 11075 D Common Stock, par value $.01 2016-12-15 4 F 0 1952 16.35 D 9123 D Restricted Stock Units 0 2016-12-15 4 M 0 3292 0 D 2017-12-15 Common Stock, par value $.01 3292 3293 D Restricted Stock Units 0 2016-12-15 4 M 0 5278 0 D 2018-12-15 Common Stock, par value 5278 10558 D Restricted Stock Units 0 2016-12-15 4 A 0 15291 0 A 2019-12-15 Common Stock, par value 15291 15291 D Stock Option (Right to Buy) 20.25 2021-12-14 Common Stock, par value $.01 27286 27286 D Stock Option (Right to Buy) 12.63 2022-12-14 Common Stock, par value $.01 39604 39604 D Stock Option (Right to Buy) 16.35 2016-12-15 4 A 0 0 0 A 2023-12-14 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 $.01 314 314 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 314 314 D These shares were purchased by Ms. Underberg's father-in-law and held in a joint account with Ms. Underberg's husband. Following her father-in-law's death, the shares were transferred into an individual account in her husband's name. 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 12/15/14 grant date. 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 12/15/15 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 12/15/14 grant date. This option vests one-third on each of the first three anniversaries of the 12/15/15 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 $250,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Ms. Underberg 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 2016-12-16