AI assistant
EASTMAN KODAK CO — Director's Dealing 2017
Jan 11, 2017
32793_dirs_2017-01-11_ee16b372-0ab3-493e-b197-06726eded933.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4/A — Form 4/A
Issuer: EASTMAN KODAK CO (KODK)
CIK: 0000031235
Period of Report: 2016-11-15
Reporting Person: O'Grady John G. (GM, WW Sales, Senior VP)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-15 | Stock Option (Right to Buy) | $15.20 | A | 39247 | Acquired | 2023-11-14 | Common Stock, par value $.01 (39247) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $.01 | 1151 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0 | 2017-09-03 | Common Stock, par value $.01 (2034) | 2034 | Direct |
| Restricted Stock Units | $0 | 2018-09-03 | Common Stock, par value $.01 (7026) | 7026 | Direct |
| Restricted Stock Units | $0 | 2019-09-03 | Common Stock, par value $.01 (11233) | 11233 | Direct |
| Restricted Stock Units | $0 | 2020-09-03 | Common Stock, par value $.01 (16448) | 16448 | Direct |
| Stock Option (Right to Buy) | $23.78 | 2021-09-02 | Common Stock, par value $.01 (18378) | 18378 | Direct |
| Stock Option (Right to Buy) | $13.76 | 2022-09-02 | Common Stock, par value $.01 (25218) | 25218 | Direct |
| Stock Option (Right to Buy) | $15.58 | 2023-09-02 | Common Stock, par value $.01 (29712) | 29712 | Direct |
| 125% Warrants to purchase Common Stock, par value $.01 | $14.93 | 2018-09-03 | Common Stock, par value $.01 (169) | 169 | Direct |
| 135% Warrants to purchase Common Stock, par value $.01 | $16.12 | 2018-09-03 | Common Stock, par value $.01 (169) | 169 | 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 9/3/14 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 9/3/15 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 9/3/16 grant date.
F4: 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.
F5: This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date.
F6: This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date.
F7: This option vests one-third on each of the first three anniversaries of the 9/3/16 grant date.
F8: Mr. O'Grady previously reported this option on his 11/15/16 Form 4; however, at that time, the number of shares underlying the option could not be determined. Mr. O'Grady is filing this amendment to report the number of shares underlying the option. This option vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date.
F9: 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.