0000891839-17-000019.txt : 20170110
0000891839-17-000019.hdr.sgml : 20170110
20170110170344
ACCESSION NUMBER: 0000891839-17-000019
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170108
FILED AS OF DATE: 20170110
DATE AS OF CHANGE: 20170110
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: Parrett William G
CENTRAL INDEX KEY: 0001418280
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00087
FILM NUMBER: 17521209
MAIL ADDRESS:
STREET 1: THE BLACKSTONE GROUP L.P.
STREET 2: 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-01-08
0000031235
EASTMAN KODAK CO
KODK
0001418280
Parrett William G
C/O EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER
NY
14650
1
0
0
0
Common Stock, par value $.01
2321
D
Restricted Stock Units
0
2017-01-08
4
D
0
14327
0
D
2017-01-08
2017-01-08
Common Stock, par value $.01
14327
0
D
Phantom Stock
0
2017-01-08
4
A
0
14327
0
A
Common Stock, par value $.01
14327
14327
D
Restricted Stock Units
0
2017-01-09
4
A
0
9804
0
A
Common Stock, par value $.01
9804
9804
D
125% Warrants to purchase Common Stock, par value $.01
14.93
2013-09-03
2018-09-03
Common Stock, par value $.01
13
13
D
135% Warrants to purchase Common Stock, par value $.01
16.12
2013-09-03
2018-09-03
Common Stock, par value $.01
13
13
D
These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 1/8/2017, Mr. Parrett deferred the receipt of 14,327 shares of common stock and received instead 14,327 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. Parrett is reporting the disposition of 14,327 shares of common stock in exchange for an equal number of shars of phantom stock under the Plan.
Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Parrett in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments.
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, except as otherwise provided in the award notice, vest on 1/9/2018, 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 factional shares.
/s/ Sharon E. Underberg, Attorney-in-fact for William G. Parrett
2017-01-10