0000891839-18-000013.txt : 20180110 0000891839-18-000013.hdr.sgml : 20180110 20180110162036 ACCESSION NUMBER: 0000891839-18-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180108 FILED AS OF DATE: 20180110 DATE AS OF CHANGE: 20180110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KARFUNKEL GEORGE CENTRAL INDEX KEY: 0001085765 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 18521736 MAIL ADDRESS: STREET 1: 6201 15TH AVE CITY: BROOKLYN STATE: NY ZIP: 33428 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: 7167244000 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-01-08 0000031235 EASTMAN KODAK CO KODK 0001085765 KARFUNKEL GEORGE C/O EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 1 0 0 0 Common Stock, par value $.01 2018-01-09 4 M 0 9804 0 A 2213180 D Restricted Stock Units 0 2018-01-09 4 M 0 9804 0 D 2018-01-09 2018-01-09 Common Stock, par value $.01 9804 0 D Restricted Stock Units 0 2018-01-08 4 A 0 48388 0 A Common Stock, par value $.01 48388 48388 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 31451 31451 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 31451 31451 D These restricted stock units convert into common stock on a one-for-one basis. 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 in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 1/8/2019, subject to continuous service as a member of the board of directors. Each of these Warrants entitles the holder to purchase one share of common stock; however for each Warrant exercised, the holder will receive a net share amount equal to the number of shares issuable upon the exercise multiplied by the closing sale price of the common stock on the exercise date minus the exercise price, divided by the closing sale price, together with cash for any fractional shares. /s/ Sharon E. Underberg, Attorney-in-fact for George Karfunkel 2018-01-10