4//SEC Filing
Engelberg Jeffrey D. 4
Accession 0000891839-20-000025
CIK 0000031235other
Filed
Jan 9, 7:00 PM ET
Accepted
Jan 10, 4:33 PM ET
Size
13.9 KB
Accession
0000891839-20-000025
Insider Transaction Report
Form 4
EASTMAN KODAK COKODK
Engelberg Jeffrey D.
Director
Transactions
- Exercise/Conversion
Common Stock, par value $.01
2020-01-08+52,817→ 148,953 total - Exercise/Conversion
Restricted Stock Units
2020-01-08−52,817→ 0 totalExercise: $0.00From: 2020-01-08Exp: 2020-01-08→ Common Stock, par value $.01 (52,817 underlying) - Award
Restricted Stock Units
2020-01-08+46,729→ 46,729 totalExercise: $0.00→ Common Stock, par value $.01 (46,729 underlying)
Holdings
- 960,000(indirect: See footnote)
Common Stock, par value $.01
- (indirect: See footnote)
5% Secured Convertible Notes
Exercise: $3.17From: 2019-09-10→ Common Stock, par value $.01 (1,574,892 underlying) - 100,000(indirect: See footnote)
Series A Covertible Preferred Stock
Exercise: $17.40→ Common Stock, par value $.01 (574,710 underlying)
Footnotes (6)
- [F1]These restricted stock units convert into common stock on a one-for-one basis.
- [F2]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.
- [F3]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 on 1/8/2021, subject to continuous service as a member of the board of directors.
- [F4]The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.
- [F5]These 5% Secured Convertible Notes (the "Notes") convert at a rate of 314.9785 shares of common stock per each $1,000 of principal, subject to certain adjustment provisions contained in the terms of the Notes.
- [F6]The Notes do not have an expiration date.
Documents
Issuer
EASTMAN KODAK CO
CIK 0000031235
Entity typeother
Related Parties
1- filerCIK 0001706935
Filing Metadata
- Form type
- 4
- Filed
- Jan 9, 7:00 PM ET
- Accepted
- Jan 10, 4:33 PM ET
- Size
- 13.9 KB