0000891839-16-000282.txt : 20161117 0000891839-16-000282.hdr.sgml : 20161117 20161117182023 ACCESSION NUMBER: 0000891839-16-000282 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161115 FILED AS OF DATE: 20161117 DATE AS OF CHANGE: 20161117 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Grady John G. CENTRAL INDEX KEY: 0001668481 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 162006035 MAIL ADDRESS: STREET 1: EASTMAN KODAK COMPANY STREET 2: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-11-15 0000031235 EASTMAN KODAK CO KODK 0001668481 O'Grady John G. EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 GM, WW Sales, Vice President Common Stock, par value $.01 7651 D Restricted Stock Units 0 2017-09-03 Common Stock, par value $.01 2034 2034 D Restricted Stock Units 0 2018-09-03 Common Stock, par value $.01 7026 7026 D Restricted Stock Units 0 2019-09-03 Common Stock, par value $.01 11233 11233 D Restricted Stock Units 0 2016-11-15 4 A 0 16448 0 A 2020-09-03 Common Stock, par value $.01 16448 16448 D Stock Option (Right to Buy) 23.78 2021-09-02 Common Stock, par value $.01 18378 18378 D Stock Option (Right to Buy) 13.76 2022-09-02 Common Stock, par value $.01 25218 25218 D Stock Option (Right to Buy) 15.58 2023-09-02 Common Stock, par value $.01 29712 29712 D Stock Option (Right to Buy) 15.20 2016-11-15 4 A 0 0 0 A 2023-11-14 Common Stock, par value $.01 0 0 D 125% Warrants to purchase Common Stock, par value $.01 14.93 2013-09-03 2018-09-03 Common Stock, par value $.01 169 169 D 135% Warrants to purchase Common Stock, par value $.01 16.12 2013-09-03 2018-09-03 Common Stock, par value $.01 169 169 D These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/14 grant date. These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/15 grant date. These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/16 grant date. 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 vest one-third on 9/3/18 and one-third on each of the first two anniversaries of such date. This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date. This option vests one-third on each of the first three anniversaries of the 9/3/16 grant date. This option was granted under the Company's 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date. The number of shares underlying the option cannot be determined at this time, but will be based on $250,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. O'Grady will file an amendment to this report. 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 John O'Grady 2016-11-17