0000891839-17-000131.txt : 20170918 0000891839-17-000131.hdr.sgml : 20170918 20170918164252 ACCESSION NUMBER: 0000891839-17-000131 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170914 FILED AS OF DATE: 20170918 DATE AS OF CHANGE: 20170918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Taber Terry R CENTRAL INDEX KEY: 0001452475 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 171090256 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 2017-09-14 0000031235 EASTMAN KODAK CO KODK 0001452475 Taber Terry R EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 Senior Vice President Common Stock, par value $.01 29863 D Restricted Stock Units 0 2018-09-03 Common Stock, par value $.01 5271 5271 D Restricted Stock Units 0 2019-09-03 Common Stock, par value $.01 9308 9308 D Stock Option (Right to Buy) 23.78 2021-09-02 Common Stock, par value $.01 27567 27567 D Stock Option (Right to Buy) 13.76 2022-09-02 Common Stock, par value $.01 37827 37827 D Stock Option (Right to Buy) 15.58 2023-09-02 Common Stock, par value $.01 36927 36927 D Stock Option (Right to Buy) 12.50 2017-09-14 4 A 0 182742 0 A 2024-09-13 Common Stock, par value $.01 182742 182742 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 611 611 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 611 611 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 9/3/2015 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. 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 was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and vests one-third on each of the first three anniversaries of the 9/14/2017 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, Attorney-in-fact for Terry R. Taber 2017-09-18