4//SEC Filing
Engelberg Jeffrey D. 4
Accession 0000891839-20-000128
CIK 0000031235other
Filed
May 21, 8:00 PM ET
Accepted
May 22, 4:38 PM ET
Size
18.7 KB
Accession
0000891839-20-000128
Insider Transaction Report
Form 4
EASTMAN KODAK COKODK
Engelberg Jeffrey D.
Director
Transactions
- Award
Stock Option (Right to Buy)
2020-05-20+21,081→ 21,081 totalExercise: $3.03Exp: 2027-05-19→ Common Stock, par value $.01 (21,081 underlying) - Award
Stock Option (Right to Buy)
2020-05-20+6,416→ 6,416 totalExercise: $6.03Exp: 2027-05-19→ Common Stock, par value $.01 (6,416 underlying) - Award
Stock Option (Right to Buy)
2020-05-20+6,416→ 6,416 totalExercise: $4.53Exp: 2027-05-19→ Common Stock, par value $.01 (6,416 underlying) - Award
Stock Option (Right to Buy)
2020-05-20+3,666→ 3,666 totalExercise: $12.00Exp: 2027-05-19→ Common Stock, par value $.01 (3,666 underlying)
Holdings
- 159,792
Common Stock, par value $.01
- 46,729
Restricted Stock Units
Exercise: $0.00→ Common Stock, par value $.01 (46,729 underlying) - 960,000(indirect: See footnote)
Common Stock, par value $.01
- 100,000(indirect: See footnote)
Series A Covertible Preferred Stock
Exercise: $17.40→ Common Stock, par value $.01 (574,710 underlying) - (indirect: See footnote)
5% Secured Convertible Notes
Exercise: $3.17From: 2019-09-10→ Common Stock, par value $.01 (1,574,892 underlying)
Footnotes (6)
- [F1]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.
- [F2]This option was granted under the Company's 2013 Omnibus Incentive Plan, as amended and restated, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice, this option vests one-third on each of 6/30/2020, 9/30/2020, and 12/31/2020.
- [F3]Except as otherwise provided in the award notice, these restricted stock units, which convert into common stock on a one-for-one basis, 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
- May 21, 8:00 PM ET
- Accepted
- May 22, 4:38 PM ET
- Size
- 18.7 KB