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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) | $ 42.938 | (4) | 02/14/2004 | common stock | 7,600 | 7,600 | D | ||||||||
Option (right to buy) | $ 56.313 | (4) | 04/19/2005 | common stock | 14,820 | 14,820 | D | ||||||||
Option (right to buy) | $ 62.6875 | (4) | 10/31/2005 | common stock | 15,000 | 15,000 | D | ||||||||
Option (right to buy) | $ 71.813 | (4) | 03/28/2006 | common stock | 34,000 | 34,000 | D | ||||||||
Option (right to buy) | $ 90.438 | (4) | 03/12/2007 | common stock | 1,993 | 1,993 | D | ||||||||
Option (right to buy) | $ 74.313 | (4) | 04/03/2007 | common stock | 50,000 | 50,000 | D | ||||||||
Option (right to buy) | $ 61.594 | (4) | 03/12/2008 | common stock | 1,402 | 1,402 | D | ||||||||
Option (right to buy) | $ 65.906 | (4) | 04/01/2008 | common stock | 100,000 | 100,000 | D | ||||||||
Option (right to buy) | $ 73.844 | (4) | 04/30/2008 | common stock | 300,000 | 300,000 | D | ||||||||
Option (right to buy) | $ 66.75 | (4) | 03/11/2009 | common stock | 2,223 | 2,223 | D | ||||||||
Option (right to buy) | $ 63.875 | (4) | 03/31/2009 | common stock | 100,000 | 100,000 | D | ||||||||
Option (right to buy) | $ 55.188 | (4) | 03/29/2010 | common stock | 100,000 | 100,000 | D | ||||||||
Option (right to buy) | $ 40.9687 | 01/12/2004 | 01/11/2011 | common stock | 160,000 | 160,000 | D | ||||||||
Option (right to buy) | $ 29.31 | 11/16/2004 | 11/15/2011 | common stock | 250,000 | 250,000 | D | ||||||||
Option (right to buy) | $ 36.66 | (5) | 11/21/2012 | common stock | 175,000 | 175,000 | D | ||||||||
Option (right to buy) | $ 24.49 | (5) | 11/18/2010 | common stock | 72,000 | 72,000 | D | ||||||||
Option (right to buy) (6) | $ 31.71 | (5) | 12/09/2011 | Common Stock | 108,000 | 108,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARP DANIEL A 343 STATE STREET ROCHESTER, NY 14650 |
X | Chairman, CEO |
Laurence L. Hickey, as attorney-in-fact for Daniel A. Carp | 01/18/2005 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Some of these shares are restricted. |
(2) | This amount represents the number of shares in the Eastman Kodak Employee's Savings and Investment Plan for the account of the reporting person. The number of shares held by each participant fluctuates with the change in stock price, due to the conversion from units to shares. |
(3) | This amount represents the number of shares in the Kodak Employee Stock Ownership Plan for the account of the reporting person. These shares were acquired by the trustee over a period of time at current market prices. |
(4) | These options have vested. |
(5) | These options vest one-third on each of the first three anniversaries of the date of grant. |
(6) | This filing exceeds 30 lines and requires two Form 4 to complete the filing. This is the first of two Forms 4 filed by the Daniel A. Carp for the January 16, 2005 transaction. |