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