0000891839-17-000026.txt : 20170118 0000891839-17-000026.hdr.sgml : 20170118 20170118165702 ACCESSION NUMBER: 0000891839-17-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170113 FILED AS OF DATE: 20170118 DATE AS OF CHANGE: 20170118 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: Kruchten Brad CENTRAL INDEX KEY: 0001467811 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 17533969 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-01-13 0000031235 EASTMAN KODAK CO KODK 0001467811 Kruchten Brad EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 Senior Vice President Common Stock, par value $.01 2017-01-13 4 S 0 600 14.92 D 19795 D Common Stock, par value $.01 2017-01-13 4 S 0 300 14.86 D 19495 D Common Stock, par value $.01 2017-01-13 4 S 0 600 14.97 D 18895 D Common Stock, par value $.01 2017-01-13 4 S 0 1900 14.88 D 16995 D Common Stock, par value $.01 90 I By Spouse Restricted Stock Units 0 2017-09-03 Common Stock, par value $.01 5888 5888 D Restricted Stock Units 0 2018-09-03 Common Stock, par value $.01 20350 20350 D Restricted Stock Units 0 2019-09-03 Common Stock, par value $.01 26958 26958 D Restricted Stock Units 0 2020-09-03 Common Stock, par value $.01 27632 27632 D Restricted Stock Units 0 2018-08-24 Common Stock, par value $.01 4871 4871 I By Spouse Stock Option (Right to Buy) 23.78 2021-09-02 Common Stock, par value $.01 53232 53232 D Stock Option (Right to Buy) 13.76 2022-09-02 Common Stock, par value $.01 73044 73044 D Stock Option (Right to Buy) 15.58 2023-09-02 Common Stock, par value $.01 71308 71308 D Stock Option (Right to Buy) 15.20 2023-11-14 Common Stock, par value $.01 65935 65935 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 943 943 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 943 943 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 31 31 I By Spouse 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 31 31 I By Spouse This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Kruchten on 11/9/15. 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. 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 8/24/15 grant 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. 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 Brad W. Kruchten 2017-01-18