Filing Details
- Accession Number:
- 0000891839-17-000104
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-07-17 16:34:13
- Reporting Period:
- 2017-07-14
- Filing Date:
- 2017-07-17
- Accepted Time:
- 2017-07-17 16:34:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 31235 | Eastman Kodak Co | KODK | Photographic Equipment & Supplies (3861) | 160417150 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1467811 | Brad Kruchten | Eastman Kodak Company 343 State Street Rochester NY 14650 | Senior Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $.01 | Disposition | 2017-07-14 | 3,400 | $9.05 | 10,195 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $.01 | 90 | Indirect | By Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $.01 | Restricted Stock Units | $0.00 | 2017-09-03 | 5,888 | 5,888 | Direct | |
| Common Stock, Par Value $.01 | Restricted Stock Units | $0.00 | 2018-09-03 | 20,350 | 20,350 | Direct | |
| Common Stock, Par Value $.01 | Restricted Stock Units | $0.00 | 2019-09-03 | 26,958 | 26,958 | Direct | |
| Common Stock, Par Value $.01 | Restricted Stock Units | $0.00 | 2020-09-03 | 27,632 | 27,632 | Direct | |
| Common Stock, Par Value $.01 | Restricted Stock Units | $0.00 | 2018-08-24 | 4,871 | 4,871 | Indirect | |
| Common Stock, Par Value $.01 | Stock Option (Right to Buy) | $23.78 | 2021-09-02 | 53,232 | 53,232 | Direct | |
| Common Stock, Par Value $.01 | Stock Option (Right to Buy) | $13.76 | 2022-09-02 | 73,044 | 73,044 | Direct | |
| Common Stock, Par Value $.01 | Stock Option (Right to Buy) | $15.58 | 2023-09-02 | 71,308 | 71,308 | Direct | |
| Common Stock, Par Value $.01 | Stock Option (Right to Buy) | $15.20 | 2023-11-14 | 65,935 | 65,935 | Direct | |
| Common Stock, Par Value $.01 | 125% Warrants to purchase Common Stock, par value $.01 | $14.93 | 2013-09-03 | 2018-09-03 | 943 | 943 | Direct |
| Common Stock, Par Value $.01 | 135% Warrants to purchase Common Stock, par value $.01 | $16.12 | 2013-09-03 | 2018-09-03 | 943 | 943 | Direct |
| Common Stock, Par Value $.01 | 125% Warrants to purchase Common Stock, par value $.01 | $14.93 | 2013-09-03 | 2018-09-03 | 31 | 31 | Indirect |
| Common Stock, Par Value $.01 | 135% Warrants to purchase Common Stock, par value $.01 | $16.12 | 2013-09-03 | 2018-09-03 | 31 | 31 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-09-03 | 5,888 | 5,888 | Direct |
| 2018-09-03 | 20,350 | 20,350 | Direct |
| 2019-09-03 | 26,958 | 26,958 | Direct |
| 2020-09-03 | 27,632 | 27,632 | Direct |
| 2018-08-24 | 4,871 | 4,871 | Indirect |
| 2021-09-02 | 53,232 | 53,232 | Direct |
| 2022-09-02 | 73,044 | 73,044 | Direct |
| 2023-09-02 | 71,308 | 71,308 | Direct |
| 2023-11-14 | 65,935 | 65,935 | Direct |
| 2018-09-03 | 943 | 943 | Direct |
| 2018-09-03 | 943 | 943 | Direct |
| 2018-09-03 | 31 | 31 | Indirect |
| 2018-09-03 | 31 | 31 | Indirect |
Footnotes
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Kruchten on 3/24/17.
- The price reported is a weighted average price. Mr. Kruchten sold these shares in multiple transactions at prices ranging from $9.00 to $9.10 per share, inclusive. Mr. Kruchten undertakes to provide to Eastman Kodak Company (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- 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, vest one-third on 9/3/18 and one-third on each of the first two anniversaries of such 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 8/24/15 grant 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 vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date.
- 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.
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