0000891839-17-000104.txt : 20170717
0000891839-17-000104.hdr.sgml : 20170717
20170717163413
ACCESSION NUMBER: 0000891839-17-000104
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170714
FILED AS OF DATE: 20170717
DATE AS OF CHANGE: 20170717
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: 17967828
MAIL ADDRESS:
STREET 1: 343 STATE STREET
CITY: ROCHESTER
STATE: NY
ZIP: 14650
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-07-14
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
2017-07-14
4
S
0
3400
9.05
D
10195
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 3/24/17.
The price reported is a weighted average price. Mr. Kruchten sold these shares in multiple transactions at prices ranging from $9.00 to $9.10 per share, inclusive. Mr. Kruchten undertakes to provide to Eastman Kodak Company (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
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/ Karen M. Kelly, Attorney-in-fact for Brad W. Kruchten
2017-07-17