0000891839-17-000147.txt : 20171219
0000891839-17-000147.hdr.sgml : 20171219
20171219164136
ACCESSION NUMBER: 0000891839-17-000147
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171215
FILED AS OF DATE: 20171219
DATE AS OF CHANGE: 20171219
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Underberg Sharon E.
CENTRAL INDEX KEY: 0001630353
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00087
FILM NUMBER: 171264480
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
2017-12-15
0000031235
EASTMAN KODAK CO
KODK
0001630353
Underberg Sharon E.
EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER
NY
14650
0
1
0
0
General Counsel, Sec., SVP
Common Stock, par value $.01
2017-12-15
4
M
0
3293
0
A
12416
D
Common Stock, par value $.01
2017-12-15
4
F
0
1218
3.35
D
11198
D
Common Stock, par value $.01
2017-12-15
4
M
0
5278
0
A
16476
D
Common Stock, par value $.01
2017-12-15
4
F
0
1952
3.35
D
14524
D
Common Stock, par value $.01
2017-12-15
4
M
0
5096
0
A
19620
D
Common Stock, par value $.01
2017-12-15
4
F
0
1894
3.35
D
17726
D
Common Stock, par value $.01
150
I
By Spouse
Restricted Stock Units
0
2017-12-15
4
M
0
3293
0
D
2017-12-15
Common Stock, par value $.01
3293
0
D
Restricted Stock Units
0
2017-12-15
4
M
0
5278
0
D
2018-12-15
Common Stock, par value $.01
5278
5280
D
Restricted Stock Units
0
2017-12-15
4
M
0
5096
0
D
2019-12-15
Common Stock, par value $.01
5096
10195
D
Restricted Stock Units
0
2017-12-15
4
A
0
74627
0
A
2020-12-15
Common Stock, par value $.01
74627
74627
D
Stock Option (Right to Buy)
20.25
2021-12-14
Common Stock, par value $.01
27286
27286
D
Stock Option (Right to Buy)
12.63
2022-12-14
Common Stock, par value $.01
39604
39604
D
Stock Option (Right to Buy)
16.35
2023-12-14
Common Stock, par value $.01
37538
37538
D
Stock Option (Right to Buy)
3.35
2017-12-15
4
A
0
174826
0
A
2024-12-14
Common Stock, par value $.01
174826
174826
D
125% Warrants to purchase Common Stock, par value $.01
14.93
2013-09-03
2018-09-03
Common Stock, par value $.01
314
314
D
135% Warrants to purchase Common Stock, par value $.01
16.12
2013-09-03
2018-09-03
Common Stock, par value $.01
314
314
D
These restricted stock units convert into common stock on a one-for-one basis.
Shares withheld to cover tax withholding obligations upon 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 12/15/2015 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 12/15/2016 grant date.
These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and vest one-third on each of the first three anniversaries of the 12/15/2017 grant date.
This option vests one-third on each of the first three anniversaries of the 12/15/2014 grant date.
This option vests one-third on each of the first three anniversaries of the 12/15/2015 grant date.
This option vests one-third on each of the first three anniversaries of the 12/15/2016 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 12/15/2017 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
2017-12-19
EX-24
2
attach_1.txt
POWER OF ATTORNEY
The undersigned, Sharon E. Underberg, hereby appoints
each of Karen Kelly and Mark Green, individually,
her attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in
the undersigned's capacity as an Officer of Eastman
Kodak Company (the "Company"), Forms 4 and 5 in
accordance with Section 16(a) of the Securities Exchange
Act of 1934 and the rules thereunder, as amended from
time to time (the "Exchange Act"), and any other forms
or reports the undersigned may be required to file in
connection with the undersigned's ownership, acquisition
or disposition of securities of the Company;
(2) execute for and on behalf of the undersigned, in
the undersigned's capacity as an Officer of the Company,
Form 144 in accordance with the Securities Act of 1933
and the rules thereunder, as amended from time to time
(the "Securities Act");
(3) perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to
complete and execute any such Form 4 or 5, or Form
144 and timely file such form with the SEC and any stock
exchange or similar authority; and
(4) take any other action of any type whatsoever in
connection with the foregoing which, in the opinion of
such attorney-in-fact, may be of benefit to, in the best
interest of, or legally required by, the undersigned, it
being understood that the documents executed by such
attorney-in-fact on behalf of the undersigned pursuant
to this Power of Attorney shall be in such form and
shall contain such terms and conditions as such
attorney-in-fact may approve in her discretion.
The undersigned hereby grants to each attorney-in-fact
full power and authority to do anything that is necessary
or desirable in the exercise of any of the rights and
powers herein granted, as fully and to all intents and
purposes as the undersigned could do if personally
present, with full power of substitution or revocation,
hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute
or substitutes, shall lawfully do or cause to be done by
virtue of this Power of Attorney and the rights and
powers herein granted. The undersigned acknowledges that
each attorney-in-fact, in serving in such capacity at
the request of the undersigned, is not assuming, nor is
the Company assuming, any of the undersigned's
responsibilities to comply with Section 16 of the
Exchange Act or Rule 144 under the Securities Act.
This Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to
file forms under Section 16(a) of the Exchange Act and
Form 144 under the Securities Act with respect to the
undersigned's holdings of and transactions in securities
issued by the Company, unless earlier revoked by the
undersigned in a signed writing to the foregoing
attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this
Power of Attorney to be executed as of this 17th day
of January, 2017.
/s/ Sharon E. Underberg
Sharon E. Underberg