0000891839-17-000126.txt : 20170906 0000891839-17-000126.hdr.sgml : 20170906 20170906162609 ACCESSION NUMBER: 0000891839-17-000126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170903 FILED AS OF DATE: 20170906 DATE AS OF CHANGE: 20170906 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Grady John G. CENTRAL INDEX KEY: 0001668481 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 171071608 MAIL ADDRESS: STREET 1: EASTMAN KODAK COMPANY STREET 2: 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 2017-09-03 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 2017-09-03 4 M 0 2034 0 A 3185 D Common Stock, par value $.01 2017-09-03 4 F 0 679 7.80 D 2506 D Common Stock, par value $.01 2017-09-03 4 M 0 3512 0 A 6018 D Common Stock, par value $.01 2017-09-03 4 F 0 1172 7.80 D 4846 D Common Stock, par value $.01 2017-09-03 4 M 0 3744 0 A 8590 D Common Stock, par value $.01 2017-09-03 4 F 0 1249 7.80 D 7341 D Restricted Stock Units 0 2017-09-03 4 M 0 2034 0 D 2017-09-03 Common Stock, par value $.01 2034 0 D Restricted Stock Units 0 2017-09-03 4 M 0 3512 0 D 2018-09-03 Common Stock, par value $.01 3512 3514 D Restricted Stock Units 0 2017-09-03 4 M 0 3744 0 D 2019-09-03 Common Stock, par value $.01 3744 7489 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 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 9/3/2014 grant date. Shares withheld to cover tax withholding obligations on the vesting of restricted stock units. 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 9/3/2015 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 9/3/2016 grant date. These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on 9/3/2018 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 9/3/2014 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date. This option vests one-third on 9/3/2018 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 2017-09-06