0000891839-21-000021.txt : 20210112 0000891839-21-000021.hdr.sgml : 20210112 20210112182255 ACCESSION NUMBER: 0000891839-21-000021 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20210112 DATE AS OF CHANGE: 20210112 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: 21524483 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 2020-09-30 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 2021-01-08 4 M 0 46729 0 A 206521 D Common Stock, par value $.01 2020-09-30 4 C 0 1574892 3.175 A 2534892 I See footnote Restricted Stock Units 0 2021-01-08 4 M 0 46729 0 D 2021-01-08 2021-01-08 Common Stock, par value $.01 46729 0 D 5% Secured Convertible Notes 3.175 2020-09-30 4 C 0 1574892 0 D 2019-09-10 Common Stock, par value $.01 1574892 0 I See footnote 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 17.40 Common Stock, par value $.01 574710 100000 I See footnote These restricted stock units convert into common stock on a one-for-one basis. On September 30, 2020, these 5% Secured Convertible Notes (the "Notes") converted into common stock at a rate of 314.9785 shares of common stock per each $1,000 of principal. These securities are owned directly by C2W Partners Master Fund Limited. Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W Partners Master Fund Limited. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W Partners Master Fund Limited 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. The Notes did not have an expiration date. This option has fully vested as of the date of this report. The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date. /s/ Roger W. Byrd, Attorney-in-fact for Jeffrey D. Engelberg 2021-01-12