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