Statement of Changes in Beneficial Ownership (4)
December 07 2018 - 4:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bullwinkle David E
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2. Issuer Name
and
Ticker or Trading Symbol
EASTMAN KODAK CO
[
KODK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CFO and Senior Vice President
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(Last)
(First)
(Middle)
EASTMAN KODAK COMPANY, 343 STATE STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/4/2018
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(Street)
ROCHESTER, NY 14650
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $.01
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23794
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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$0
(1)
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(1)
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7/1/2019
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Common Stock, par value $.01
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6159
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6159
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D
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Restricted Stock Units
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$0
(2)
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12/4/2018
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A
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44872
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(2)
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9/3/2021
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Common Stock, par value $.01
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44872
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$0
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44872
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D
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Stock Option (Right to Buy)
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$23.78
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(3)
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9/2/2021
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Common Stock, par value $.01
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5805
(3)
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5805
(3)
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D
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Stock Option (Right to Buy)
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$20.25
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(4)
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12/14/2021
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Common Stock, par value $.01
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5349
(4)
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5349
(4)
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D
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Stock Option (Right to Buy)
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$13.76
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(5)
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9/2/2022
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Common Stock, par value $.01
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7965
(5)
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7965
(5)
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D
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Stock Option (Right to Buy)
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$16.24
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(6)
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6/30/2023
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Common Stock, par value $.01
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45942
(6)
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45942
(6)
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D
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Stock Option (Right to Buy)
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$12.50
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(7)
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9/13/2024
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Common Stock, par value $.01
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355330
(7)
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355330
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D
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Stock Option (Right to Buy)
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$3.90
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12/4/2018
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A
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71139
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(8)
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12/3/2025
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Common Stock, par value $.01
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71139
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$0
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71139
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D
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Explanation of Responses:
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(1)
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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 7/1/2016 grant date.
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(2)
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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 one-third on 9/3/2019 and one-third on each of the first two anniversaries of such date.
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(3)
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This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.
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(4)
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This option vests one-third on each of the first three anniversaries of the 12/15/2014 grant date.
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(5)
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This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.
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(6)
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This option vests one-third on each of the first three anniversaries of the 7/1/2016 grant date.
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(7)
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This option vests one-third on each of the first three anniversaries of the 9/14/2017 grant date.
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(8)
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This option 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 one-third on 9/3/2019 and one-third on each of the first two anniversaries of such date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bullwinkle David E
EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER, NY 14650
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CFO and Senior Vice President
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Signatures
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/s/ Sharon E. Underberg, Attorney-in-fact for David E. Bullwinkle
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12/7/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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