0000891839-21-000159.txt : 20210520
0000891839-21-000159.hdr.sgml : 20210520
20210520190521
ACCESSION NUMBER: 0000891839-21-000159
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210518
FILED AS OF DATE: 20210520
DATE AS OF CHANGE: 20210520
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Katz Philippe D
CENTRAL INDEX KEY: 0001579836
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00087
FILM NUMBER: 21946055
MAIL ADDRESS:
STREET 1: 160 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10038
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
2021-05-18
0000031235
EASTMAN KODAK CO
KODK
0001579836
Katz Philippe D
C/O EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER
NY
14650
1
0
1
0
Common Stock, par value $.01
2021-05-18
4
M
0
4128
0
A
120496
D
Common Stock, par value $.01
2021-05-19
4
A
0
11000
0
A
131496
D
Common Stock, par value $.01
2522011
I
Owned by KF Investors LLC
Common Stock, par value $.01
1569870
I
Owned by Momar Corporation
Common Stock, par value $.01
7598
I
Owned by United Equities Commodities Company
Common Stock, par value $.01
87720
I
Owned by Marneu Holding Company
Common Stock, par value $.01
48875
I
Owned by 111 John Realty Corp.
Restricted Stock Units
0
2021-05-18
4
M
0
4128
0
D
2021-05-18
2021-05-18
Common Stock, par value $.01
4128
3781
D
Restricted Stock Units
0
2021-05-18
4
D
0
3781
0
D
2021-05-18
2021-05-18
Common Stock, par value $.01
3781
0
D
Phantom Stock
0
2021-05-18
4
A
0
3781
0
A
Common Stock, par value $.01
3781
50510
D
Restricted Stock Units
0
2021-05-19
4
A
0
10000
0
A
Common Stock, par value $.01
10000
10000
D
Stock Option (Right to Buy)
3.03
2027-05-19
Common Stock, par value $.01
25297
25297
D
Stock Option (Right to Buy)
4.53
2027-05-19
Common Stock, par value $.01
7699
7699
D
Stock Option (Right to Buy)
6.03
2027-05-19
Common Stock, par value $.01
7699
7699
D
Stock Option (Right to Buy)
12.00
2027-05-19
Common Stock, par value $.01
4400
4400
D
These restricted stock units convert into common stock on a one-for-one basis.
This restricted stock award was granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests in four equal installments on August 18, 2021, November 18, 2021, February 18, 2022 and the day immediately preceding the Company's 2022 annual meeting of shareholders, with pro rata vesting upon Mr. Katz's separation from service prior to vesting.
Mr. Katz disclaims beneficial ownership of the securities held by KF Investors LLC, an entity of which Mr. Katz is a managing member, except to the extent of his pecuniary interest therein.
Mr. Katz disclaims beneficial ownership of the securities held by Momar Corporation, an entity in which Mr. Katz has an ownership interest, except to the extent of his pecuniary interest therein.
Mr. Katz disclaims beneficial ownership of the securities held by United Equities Commodities Company, an entity of which Mr. Katz is a general partner, except to the extent of his pecuniary interest therein.
Mr. Katz disclaims beneficial ownership of the securities held by Marneu Holding Company, an entity of which Mr. Katz is a partner, except to the extent of his pecuniary interest therein.
Mr. Katz disclaims beneficial ownership of the securities held by 111 John Realty Corp., an entity in which Mr. Katz has an ownership interest, except to the extent of his pecuniary interest therein.
Upon vesting on 5/18/2021, Mr. Katz deferred the receipt of 3,781 shares of common stock and received instead 3,781 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. Katz is reporting the disposition of 3,781 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan.
Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Katz in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments.
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, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2022 annual meeting of shareholders.
This option has fully vested as of the date of this report.
/s/ Roger W. Byrd, Attorney-in-fact for Philippe D. Katz
2021-05-20