0000891839-21-000111.txt : 20210402
0000891839-21-000111.hdr.sgml : 20210402
20210402172307
ACCESSION NUMBER: 0000891839-21-000111
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210226
FILED AS OF DATE: 20210402
DATE AS OF CHANGE: 20210402
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: 21803007
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
2021-02-26
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
206521
D
Common Stock, par value $.01
2534892
I
See footnote
Restricted Stock Units
0
2021-03-31
4
A
0
7159
0
A
Common Stock, par value $.01
7159
7159
D
Stock Option (Right to Buy)
3.03
2027-05-19
Common Stock, par value $.01
21081
21081
D
Stock Option (Right to Buy)
4.53
2027-05-19
Common Stock, par value $.01
6416
6416
D
Stock Option (Right to Buy)
6.03
2027-05-19
Common Stock, par value $.01
6416
6416
D
Stock Option (Right to Buy)
12.00
2027-05-19
Common Stock, par value $.01
3666
3666
D
Series A Covertible Preferred Stock
2021-02-26
4
D
0
100000
100
D
Common Stock, par value $.01
574710
0
I
See footnote
Series B Covertible Preferred Stock
10.5
2021-02-26
4
A
0
50000
A
2026-05-28
Common Stock, par value $.01
476190
50000
I
See footnote
These securities are owned directly by C2W Partners Master Fund Limited ("C2W"). Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W 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.
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, as amended and restated, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on May 18, 2021, subject to continuous service as a member of the board of directors.
This option has fully vested as of the date of this report.
On February 26, 2021, pursuant to the Series A Preferred Stock Repurchase and Exchange Agreement, C2W disposed of 50,000 shares of Series A Convertible Preferred Stock in exchange for cash and 50,000 shares of Series A Convertible Preferred Stock in exchange for shares of Series B Convertible Preferred Stock on a one-for-one basis from the issuer.
In addition to the share consideration, the Issuer paid $64,167 for accrued and unpaid dividends on the shares of Series A Convertible Preferred Stock.
The convertible preferred stock is convertible at any time, at the holder's election.
/s/ Roger W. Byrd, Attorney-in-fact for Jeffrey D. Engelberg
2021-04-02