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EASTMAN KODAK CO — Director's Dealing 2017
May 2, 2017
32793_dirs_2017-05-02_f30d5227-b72a-48cd-a272-3b47d13f12bc.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: EASTMAN KODAK CO (KODK)
CIK: 0000031235
Period of Report: 2017-04-28
Reporting Person: Mahe Eric-Yves (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-28 | Common Stock, par value $.01 | M | 4995 | — | Acquired | 11168 | Direct |
| 2017-04-28 | Common Stock, par value $.01 | M | 2038 | — | Acquired | 13206 | Direct |
| 2017-04-28 | Common Stock, par value $.01 | M | 4734 | — | Acquired | 17940 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-04-28 | Restricted Stock Units | $0 | M | 4995 | Disposed | 2017-04-28 | Common Stock, par value $.01 (4995) | Direct |
| 2017-04-28 | Restricted Stock Units | $0 | M | 2038 | Disposed | 2018-04-28 | Common Stock, par value $.01 (2038) | Direct |
| 2017-04-28 | Restricted Stock Units | $0 | M | 4734 | Disposed | 2019-04-28 | Common Stock, par value $.01 (4734) | Direct |
| 2017-04-28 | Restricted Stock Units | $0 | A | 15910 | Acquired | 2020-04-28 | Common Stock, par value $.01 (15910) | Direct |
| 2017-04-28 | Stock Option (Right to Buy) | $11.00 | A | 0 | Acquired | 2024-04-27 | Common Stock, par value $.01 (0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0 | 2018-05-12 | Common Stock, par value $.01 (1858) | 1858 | Direct |
| Stock Option (Right to Buy) | $20.44 | 2022-04-27 | Common Stock, par value $.01 (17508) | 17508 | Direct |
| Stock Option (Right to Buy) | $17.95 | 2022-05-11 | Common Stock, par value $.01 (7003) | 7003 | Direct |
| Stock Option (Right to Buy) | $12.32 | 2023-04-27 | Common Stock, par value $.01 (33461) | 33461 | Direct |
Footnotes
F1: 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 4/28/2015 grant date.
F2: 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 5/12/2015 grant date.
F3: 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 4/28/2016 grant date.
F4: 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 or Mr. Mahe's employment agreement, vest one-third on each of the first three anniversaries of the 4/28/2017 grant date.
F5: This option vests one-third on each of the first three anniversaries of the 4/28/2015 grant date.
F6: This option vests one-third on each of the first three anniversaries of the 5/12/2015 grant date.
F7: This option vests one-third on each of the first three anniversaries of the 4/28/2016 grant date.
F8: This option was 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 or Mr. Mahe's employment agreement, vests one-third on each of the first three anniversaries of the 4/28/2017 grant date. The number of shares underlying the option canot be determined at this time, but will be based on $175,000 divided by the Black-Scholes valuation of the option on the grant date. Once the number is determined, Mr. Mahe will file an amendment to this report.