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