0000891839-17-000007.txt : 20170104 0000891839-17-000007.hdr.sgml : 20170104 20170104182834 ACCESSION NUMBER: 0000891839-17-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140816 FILED AS OF DATE: 20170104 DATE AS OF CHANGE: 20170104 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: KARFUNKEL GEORGE CENTRAL INDEX KEY: 0001085765 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 17507731 MAIL ADDRESS: STREET 1: 6201 15TH AVE CITY: BROOKLYN STATE: NY ZIP: 33428 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-08-16 0000031235 EASTMAN KODAK CO KODK 0001085765 KARFUNKEL GEORGE C/O EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 1 0 0 0 Common Stock, par value $.01 2014-08-16 4 A 0 9451 0 A 1342111 D Common Stock, par value $.01 2015-02-25 4 A 0 8911 0 A 1351022 D Common Stock, par value $.01 2017-01-01 4 M 0 2321 0 A 1353343 D Restricted Stock Units 0 2017-01-01 4 M 0 2321 0 D 2017-01-01 2017-01-01 Common Stock, par value $.01 2321 0 D Restricted Stock Units 0 Common Stock, par value $.01 14327 14327 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2014-08-20 4 A 0 3284 0 A 2013-09-03 2018-09-03 Common Stock, par value $.01 3284 28341 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2014-08-20 4 A 0 3284 0 A 2013-09-03 2018-09-03 Common Stock, par value $.01 3284 28341 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2015-02-25 4 A 0 3110 0 A 2013-09-03 2018-09-03 Common Stock, par value $.01 3110 31451 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2015-02-25 4 A 0 3110 0 A 2013-09-03 2018-09-03 Common Stock, par value $.01 3110 31451 D Distribution on account of certain unsecured claims pursuant to the Kodak Chapter 11 Plan. These restricted stock units convert into common stock on a one-for-one basis. 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 and, except as otherwise provided in the award notice, vest on 1/8/2017 (due to an administrative error, previously reported as 1/1/2017), subject to continuous service as a member of the board of directors. 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 George Karfunkel 2017-01-04