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