SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol EASTMAN KODAK CO [ KODK ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 03/10/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 26,968 | D | $12.01 | 7,422,438 | I | Footnotes(1)(2)(3)(4)(5)(6) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 23,337 | D | $12.01 | 6,423,118 | I | Footnotes(1)(2)(3)(4)(5) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 10,829 | D | $12.01 | 2,980,437 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 10,829 | D | $12.01 | 2,980,437 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 10,829 | D | $12.01 | 2,980,437 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 693 | D | $12.01 | 190,735 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 693 | D | $12.01 | 190,735 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 1,177 | D | $12.01 | 323,982 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 912 | D | $12.01 | 251,059 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 912 | D | $12.01 | 251,059 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 6,906 | D | $12.01 | 1,900,792 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 6,906 | D | $12.01 | 1,900,792 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 1,280 | D | $12.01 | 352,257 | I | Footnotes(1)(2)(5) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 1,280 | D | $12.01 | 352,257 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 2,454 | D | $12.01 | 675,338 | I | Footnotes(1)(3)(5) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 2,454 | D | $12.01 | 675,338 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 959 | D | $12.01 | 263,906 | I | Footnotes(1)(2)(5) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 959 | D | $12.01 | 263,906 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 1,758 | D | $12.01 | 483,932 | I | Footnotes(1)(3)(5) | ||
Common Stock(1)(2)(3)(4)(5)(6)(7)(9) | 03/10/2017 | S | 1,758 | D | $12.01 | 483,932 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 66,352 | D | $11.95 | 7,356,086 | I | Footnotes(1)(2)(3)(4)(5)(6) | ||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 57,418 | D | $11.95 | 6,365,700 | I | Footnotes(1)(2)(3)(4)(5) | ||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 26,644 | D | $11.95 | 2,953,793 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 26,644 | D | $11.95 | 2,953,793 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 26,644 | D | $11.95 | 2,953,793 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 1,705 | D | $11.95 | 189,030 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 1,705 | D | $11.95 | 189,030 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 2,896 | D | $11.95 | 321,086 | D | |||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 2,244 | D | $11.95 | 248,815 | I | Footnotes(1)(2)(4) | ||
Common Stock(1)(2)(3)(4)(5)(6)(8)(9) | 03/13/2017 | S | 2,244 | D | $11.95 | 248,815 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. The filing of this Form 4 shall not be construed as an admission that any of BlueMountain Capital Management, LLC ("BMCM"), GP Holdings, the General Partners, BMM GP (each as defined in Footnote 5) or BMCA GP (as defined in Footnote 4) is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise the beneficial owner of any of the shares of Common Stock, par value $0.01 per share (the "Common Stock"), of Eastman Kodak Company (the "Issuer"). Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of BMCM, GP Holdings and the General Partners disclaims such beneficial ownership, except to the extent of its pecuniary interest. |
2. BMCM is the investment manager of each of: (i) Blue Mountain Credit Alternatives Master Fund L.P. ("BMCA"), which is the direct beneficial owner of 2,949,775 shares of Common Stock; (ii) BlueMountain Guadalupe Peak Fund L.P. ("BMGP"), which is the direct beneficial owner of 188,773 shares of Common Stock; (iii) BlueMountain Kicking Horse Fund L.P. ("BMKH"), which is the direct beneficial owner of 248,477 shares of Common Stock; (iv) BlueMountain Credit Opportunities Master Fund I L.P. ("BMCO"), which is the direct beneficial owner of 1,881,237 shares of Common Stock; (v) BlueMountain Distressed Master Fund L.P. ("BMD"), which is the beneficial owner of 348,633 shares of Common Stock; (vi) BlueMountain Strategic Credit Master Fund L.P. ("BMSC"), which is the direct beneficial owner of 261,192 shares of Common Stock; |
3. (vii) BlueMountain Summit Trading L.P. ("BMST" and, together with BMCA, BMGP, BMKH, BMCO, BMD and BMSC, the "Partnerships"), which is the direct beneficial owner of 478,954 shares of Common Stock; (viii) BlueMountain Timberline Ltd. ("BMT"), which is the direct beneficial owner of 320,649 shares of Common Stock; and (ix) BlueMountain Montenvers Master Fund SCA SICAV-SIF ("BMM" and, together with the Partnerships and BMT, the "Funds"), which is the direct beneficial owner of 668,389 shares of Common Stock. BMCM, although it directs the voting and disposition of the Common Stock held by the Funds, only receives an asset-based fee relating to the Common Stock held by the Funds. |
4. (i) Blue Mountain CA Master Fund GP, Ltd. ("BMCA GP") is the general partner of BMCA and has an indirect profits interest in the Common Stock beneficially owned by it; (ii) Blue Mountain Credit GP, LLC ("BMC GP") is the sole owner of BMCA GP and has an indirect profits interest in the Common Stock beneficially owned by BMCA; (iii) BlueMountain Long/Short Credit GP, LLC ("BMGP GP") is the general partner of BMGP and has an indirect profits interest in the Common Stock beneficially owned by it; (iv) BlueMountain Kicking Horse Fund GP, LLC ("BMKH GP") is the general partner of BMKH and has an indirect profits interest in the Common Stock beneficially owned by it; (v) BlueMountain Credit Opportunities GP I, LLC ("BMCO GP") is the general partner of BMCO and has an indirect profits interest in the Common Stock beneficially owned by it; |
5. (vi) BlueMountain Distressed GP, LLC ("BMD GP") is the general partner of BMD and has an indirect profits interest in the Common Stock beneficially owned by it; (vii) BlueMountain Strategic Credit GP, LLC ("BMSC GP") is the general partner of BMSC and has an indirect profits interest in the Common Stock beneficially owned by it; (viii) BlueMountain Summit Opportunities GP II, LLC ("BMST GP" and, together with BMC GP, BMGP GP, BMKH GP, BMCO GP, BMD GP, BMD GP and BMSC GP, the "General Partners") is the general partner of BMST and has an indirect profits interest in the Common Stock beneficially owned by it; and (ix) BlueMountain Montenvers GP S.a r.l. ("BMM GP") is the general partner of BMM and has an indirect profits interest in the Common Stock beneficially owned by it. BlueMountain GP Holdings, LLC ("GP Holdings") is the sole owner of each of the General Partners and thus has an indirect profits interest in the Common Stock beneficially owned by the Partnerships. |
6. BMCM is the sole owner of BMM GP and thus has an indirect profits interest in the Common Stock beneficially owned by BMM. |
7. On March 10, 2017, (i) BMCA sold 10,829 shares of Common Stock, (ii) BMGP sold 693 shares of Common Stock, (iii) BMT sold 1,177 shares of Common Stock, (iv) BMKH sold 912 shares of Common Stock, (v) BMCO sold 6,906 shares of Common Stock, (vi) BMD sold 1,280 shares of Common Stock, (vii) BMM sold 2,454 shares of Common Stock, (viii) BMSC sold 959 shares of Common Stock and (ix) BMST sold 1,758 shares of Common Stock. |
8. On March 13, 2017, (i) BMCA sold 26,644 and 4,018 shares of Common Stock for $11.95 and $12.20 per share, respectively, (ii) BMGP sold 1,705 and 257 shares of Common Stock for $11.95 and $12.20 per share, respectively, (iii) BMT sold 2,896 and 437 shares of Common Stock for $11.95 and $12.20 per share, respectively, (iv) BMKH sold 2,244 and 338 shares of Common Stock for $11.95 and $12.20 per share, respectively, (v) BMCO sold 16,992 and 2,563 shares of Common Stock for $11.95 and $12.20 per share, respectively, (vi) BMD sold 3,149 and 475 shares of Common Stock for $11.95 and $12.20 per share, respectively, (vii) BMM sold 6,038 and 911 shares of Common Stock for $11.95 and $12.20 per share, respectively, (viii) BMSC sold 2,358 and 356 shares of Common Stock for $11.95 and $12.20 per share, respectively and (ix) BMST sold 4,326 and 652 shares of Common Stock for $11.95 and $12.20 per share, respectively. |
9. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16(a)-3(j) under the Exchange Act. The Forms 4 for certain additional transactions and Reporting Persons are being filed separately and simultaneously with this Form 4 due to the limitation of 30 transactions and 10 Reporting Persons per filing. |
Remarks: |
BlueMountain Capital Management, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 03/14/2017 | |
BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 03/14/2017 | |
Blue Mountain Credit GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 03/14/2017 | |
Blue Mountain CA Master Fund GP, Ltd., By: /s/ Andrew Feldstein, Director | 03/14/2017 | |
Blue Mountain Credit Alternatives Master Fund L.P., By: BlueMountain CA Master Fund GP, Ltd., By: /s/ Andrew Feldstein, Director | 03/14/2017 | |
BlueMountain Long/Short Credit GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 03/14/2017 | |
BlueMountain Guadalupe Peak Fund L.P., By: BlueMountain Long/Short Credit GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 03/14/2017 | |
BlueMountain Timberline Ltd., By: /s/ Andrew Feldstein, Director | 03/14/2017 | |
BlueMountain Kicking Horse Fund GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 03/14/2017 | |
BlueMountain Kicking Horse Fund L.P., By: BlueMountain Kicking Horse Fund GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 03/14/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |