0000891839-20-000007.txt : 20200103
0000891839-20-000007.hdr.sgml : 20200103
20200103171648
ACCESSION NUMBER: 0000891839-20-000007
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200103
DATE AS OF CHANGE: 20200103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Engelberg Jeffrey D.
CENTRAL INDEX KEY: 0001706935
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00087
FILM NUMBER: 20506737
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
2019-12-31
0000031235
EASTMAN KODAK CO
KODK
0001706935
Engelberg Jeffrey D.
C/O EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER
NY
14650
1
0
0
0
Common Stock, par value $.01
2019-12-31
4
A
0
4033
0
A
96136
D
Common Stock, par value $.01
960000
I
See footnote
Restricted Stock Units
0
Common Stock, par value $.01
52817
52817
D
Series A Covertible Preferred Stock
17.40
Common Stock, par value $.01
574710
100000
I
See footnote
5% Secured Convertible Notes
3.175
2019-09-10
Common Stock, par value $.01
1574892
5000000.00
I
See footnote
Reflects restricted stock units granted in lieu of retainer and meeting fees of $18,750, which immediately vested and converted into common stock on a one-for-one basis. The restricted stock units were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3.
These securities are owned directly by C2W Partners Master Fund Limited. Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W Partners Master Fund Limited. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W Partners Master Fund Limited and states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
Except as otherwise provided in the award notice, these restricted stock units, which convert into common stock on a one-for-one basis, vest on 1/8/2020, subject to continuous service as a member of the board of directors.
The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.
These 5% Secured Convertible Notes (the "Notes") convert at a rate of 314.9785 shares of common stock per each $1,000 of principal, subject to certain adjustment provisions contained in the terms of the Notes.
The Notes do not have an expiration date.
/s/ Roger W. Byrd, Attorney-in-fact for Jeffrey D. Engelberg
2020-01-03