0000891839-20-000128.txt : 20200522 0000891839-20-000128.hdr.sgml : 20200522 20200522163820 ACCESSION NUMBER: 0000891839-20-000128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200520 FILED AS OF DATE: 20200522 DATE AS OF CHANGE: 20200522 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: 20906489 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: 5857244000 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-05-20 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 159792 D Common Stock, par value $.01 960000 I See footnote Stock Option (Right to Buy) 3.03 2020-05-20 4 A 0 21081 0 A 2027-05-19 Common Stock, par value $.01 21081 21081 D Stock Option (Right to Buy) 4.53 2020-05-20 4 A 0 6416 0 A 2027-05-19 Common Stock, par value $.01 6416 6416 D Stock Option (Right to Buy) 6.03 2020-05-20 4 A 0 6416 0 A 2027-05-19 Common Stock, par value $.01 6416 6416 D Stock Option (Right to Buy) 12.00 2020-05-20 4 A 0 3666 0 A 2027-05-19 Common Stock, par value $.01 3666 3666 D Restricted Stock Units 0 Common Stock, par value $.01 46729 46729 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 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. This option was granted under the Company's 2013 Omnibus Incentive Plan, as amended and restated, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice, this option vests one-third on each of 6/30/2020, 9/30/2020, and 12/31/2020. 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 1/8/2021, 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 2020-05-22