0000891839-17-000023.txt : 20170111 0000891839-17-000023.hdr.sgml : 20170111 20170111174920 ACCESSION NUMBER: 0000891839-17-000023 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161215 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: Underberg Sharon E. CENTRAL INDEX KEY: 0001630353 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 17523637 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 2016-12-15 2016-12-16 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 $.01 150 I By Spouse Common Stock, par value $.01 9123 D Restricted Stock Units 0 2017-12-15 Common Stock, par value $.01 3293 3293 D Restricted Stock Units 0 2018-12-15 Common Stock, par value 10558 10558 D Restricted Stock Units 0 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 37538 0 A 2023-12-14 Common Stock, par value $.01 37538 37538 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 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. 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, vest one-third on each of the first three anniversaries of the 12/15/16 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. Ms. Underberg previously reported this option on her 12/15/16 Form 4; however, at that time, the number of shares underlying the option could not be determined. Ms. Underberg is filing this amendment to report the number of shares underlying the option. This option vests one-third on each of the first three anniversaries of the grant 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 2017-01-11