0000891839-17-000143.txt : 20171117 0000891839-17-000143.hdr.sgml : 20171117 20171117161556 ACCESSION NUMBER: 0000891839-17-000143 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171115 FILED AS OF DATE: 20171117 DATE AS OF CHANGE: 20171117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Payne Christopher Joseph CENTRAL INDEX KEY: 0001705462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 171211140 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 2017-11-15 0000031235 EASTMAN KODAK CO KODK 0001705462 Payne Christopher Joseph C/O EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 Vice President Common Stock, par value $.01 2017-11-15 4 M 0 1918 0 A 1934 D Common Stock, par value $.01 2017-11-15 4 F 0 710 3.40 D 1224 D Restricted Stock Units 0 2017-11-15 4 M 0 1918 0 D 2019-11-15 Common Stock, par value $.01 1918 3839 D Stock Option (Right to Buy) 15.20 2023-11-14 Common Stock, par value $.01 14345 14345 D Stock Option (Right to Buy) 12.50 2024-09-13 Common Stock, par value $.01 152285 152285 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 5 5 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 5 5 D These restricted stock units convert into common stock on a one-for-one basis. 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 11/15/2016 grant date. This option vests one-third on each of the first three anniversaries of the 11/15/2016 grant date. This option 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 Christopher J. Payne 2017-11-17