0000891839-17-000022.txt : 20170111 0000891839-17-000022.hdr.sgml : 20170111 20170111174616 ACCESSION NUMBER: 0000891839-17-000022 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161115 FILED AS OF DATE: 20170111 DATE AS OF CHANGE: 20170111 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: O'Grady John G. CENTRAL INDEX KEY: 0001668481 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 17523628 MAIL ADDRESS: STREET 1: EASTMAN KODAK COMPANY STREET 2: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4/A 1 edgar.xml PRIMARY DOCUMENT X0306 4/A 2016-11-15 2016-11-17 0000031235 EASTMAN KODAK CO KODK 0001668481 O'Grady John G. EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 GM, WW Sales, Senior VP Common Stock, par value $.01 1151 D Restricted Stock Units 0 2017-09-03 Common Stock, par value $.01 2034 2034 D Restricted Stock Units 0 2018-09-03 Common Stock, par value $.01 7026 7026 D Restricted Stock Units 0 2019-09-03 Common Stock, par value $.01 11233 11233 D Restricted Stock Units 0 2020-09-03 Common Stock, par value $.01 16448 16448 D Stock Option (Right to Buy) 23.78 2021-09-02 Common Stock, par value $.01 18378 18378 D Stock Option (Right to Buy) 13.76 2022-09-02 Common Stock, par value $.01 25218 25218 D Stock Option (Right to Buy) 15.58 2023-09-02 Common Stock, par value $.01 29712 29712 D Stock Option (Right to Buy) 15.20 2016-11-15 4 A 0 39247 0 A 2023-11-14 Common Stock, par value $.01 39247 39247 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 169 169 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 169 169 D 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 9/3/14 grant date. 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 9/3/15 grant date. 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 9/3/16 grant date. These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on 9/3/18 and one-third on each of the first two anniversaries of such date. This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/16 grant date. Mr. O'Grady previously reported this option on his 11/15/16 Form 4; however, at that time, the number of shares underlying the option could not be determined. Mr. O'Grady is filing this amendment to report the number of shares underlying the option. This option vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date. 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 John O'Grady 2017-01-11