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KODK

EASTMAN KODAK CO

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5053
SEC CIK
0000031235
Parsed reports
416

Last 12 months

Inside the activity.

2 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202511
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202610
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 03, 2019 Filed Sep 5, 2019 20:32 UTC
Taber Terry RSenior Vice President
Exercise / conversionCommon Stock, par value $.01 4,655 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000163 · edgar.xml · nonDerivative · entry 1

Taber Terry R · CIK 0001452475 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,070

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:31 UTC
Samuels EricCAO and Corp. Controller
Exercise / conversionRestricted Stock Units · Derivative 4,273 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000162 · edgar.xml · derivative · entry 7

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,548

Underlying: Common Stock, par value $.01 · 4,273 shares

Expires 2021-09-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on 9/3/2019 and vest one-third on each of 9/3/2020 and 9/3/2021.

F5 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on 9/3/2019 and vest one-third on each of 9/3/2020 and 9/3/2021.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:31 UTC
Samuels EricCAO and Corp. Controller
Exercise / conversionRestricted Stock Units · Derivative 3,210 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000162 · edgar.xml · derivative · entry 5

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 3,210 shares

Expires 2019-09-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: These securities are fully vested as of the date of this report.

F3 · derivative.exercise_date: These securities are fully vested as of the date of this report.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:31 UTC
Samuels EricCAO and Corp. Controller
Tax withholdingCommon Stock, par value $.01 1,452 $2.38 $3,455.76
Disclosure

SEC source: 0000891839-19-000162 · edgar.xml · nonDerivative · entry 4

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,741

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:31 UTC
Samuels EricCAO and Corp. Controller
Exercise / conversionCommon Stock, par value $.01 4,273 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000162 · edgar.xml · nonDerivative · entry 3

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,193

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:31 UTC
Samuels EricCAO and Corp. Controller
Tax withholdingCommon Stock, par value $.01 1,091 $2.38 $2,596.58
Disclosure

SEC source: 0000891839-19-000162 · edgar.xml · nonDerivative · entry 2

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,920

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:31 UTC
Samuels EricCAO and Corp. Controller
Exercise / conversionCommon Stock, par value $.01 3,210 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000162 · edgar.xml · nonDerivative · entry 1

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,011

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:29 UTC
Bullwinkle David ECFO and Senior Vice President
Exercise / conversionRestricted Stock Units · Derivative 14,957 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000160 · edgar.xml · derivative · entry 3

Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,915

Underlying: Common Stock, par value $.01 · 14,957 shares

Expires 2021-09-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on 9/3/2019 and vest one-third on each of 9/3/2020 and 9/3/2021.

F3 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on 9/3/2019 and vest one-third on each of 9/3/2020 and 9/3/2021.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:29 UTC
Bullwinkle David ECFO and Senior Vice President
Tax withholdingCommon Stock, par value $.01 5,081 $2.38 $12,092.78
Disclosure

SEC source: 0000891839-19-000160 · edgar.xml · nonDerivative · entry 2

Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,981

F2 · shares: Shares withheld to cover tax withholding obligations on the vesting of restricted stock units.

Read SEC document
September 03, 2019 Filed Sep 5, 2019 20:29 UTC
Bullwinkle David ECFO and Senior Vice President
Exercise / conversionCommon Stock, par value $.01 14,957 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000160 · edgar.xml · nonDerivative · entry 1

Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,062

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
August 21, 2019 Filed Aug 23, 2019 21:03 UTC Purchase5% Secured Convertible Notes · Derivative Not disclosed $5,000,000.00 Strike: $3.18 $5,000,000.00
Disclosure

SEC source: 0000891839-19-000152 · edgar.xml · derivative · entry 5

Engelberg Jeffrey D. · CIK 0001706935 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock, par value $.01 · 1,574,892 shares

Expires not disclosed

F4 · derivative.exercise_price: 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.

F5 · derivative.expiration_date: The Notes do not have an expiration date.

F1 · ownership.nature: 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.

Read SEC document
August 15, 2019 Filed Aug 15, 2019 20:29 UTC
CONTINENZA JAMES VDirector · Executive Chairman
PurchaseCommon Stock, par value $.01 70,000 $2.04 $142,800.00
Disclosure

SEC source: 0000891839-19-000147 · edgar.xml · nonDerivative · entry 3

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.08, inclusive. Mr. Continenza undertakes to provide to Eastman Kodak Company, any security holder of Eastman Kodak Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 15, 2019 Filed Aug 19, 2019 20:31 UTC PurchaseCommon Stock, par value $.01 21,612 $2.11 $45,601.32
Disclosure

SEC source: 0000891839-19-000151 · edgar.xml · nonDerivative · entry 1

Engelberg Jeffrey D. · CIK 0001706935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.049 to $2.16, inclusive. Mr. Engelberg undertakes to provide to Eastman Kodak Company, any security holder of Eastman Kodak Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 14, 2019 Filed Aug 15, 2019 20:29 UTC PurchaseCommon Stock, par value $.01 10,000 $2.02 $20,200.00
Disclosure

SEC source: 0000891839-19-000148 · edgar.xml · nonDerivative · entry 2

Katz Philippe D · CIK 0001579836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Read SEC document
August 14, 2019 Filed Aug 15, 2019 20:29 UTC
CONTINENZA JAMES VDirector · Executive Chairman
PurchaseCommon Stock, par value $.01 10,000 $2.00 $20,000.00
Disclosure

SEC source: 0000891839-19-000147 · edgar.xml · nonDerivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.01, inclusive. Mr. Continenza undertakes to provide to Eastman Kodak Company, any security holder of Eastman Kodak Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 13, 2019 Filed Aug 15, 2019 20:30 UTC
Bullwinkle David ECFO and Senior Vice President
PurchaseCommon Stock, par value $.01 3,250 $2.15 $6,987.50
Disclosure

SEC source: 0000891839-19-000149 · edgar.xml · nonDerivative · entry 1

Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,105

Read SEC document
August 13, 2019 Filed Aug 15, 2019 20:29 UTC PurchaseCommon Stock, par value $.01 30,000 $2.08 $62,400.00
Disclosure

SEC source: 0000891839-19-000148 · edgar.xml · nonDerivative · entry 1

Katz Philippe D · CIK 0001579836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.06 to $2.10, inclusive. Mr. Katz undertakes to provide to Eastman Kodak Company, any security holder of Eastman Kodak Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 13, 2019 Filed Aug 15, 2019 20:29 UTC
CONTINENZA JAMES VDirector · Executive Chairman
PurchaseCommon Stock, par value $.01 20,000 $2.12 $42,400.00
Disclosure

SEC source: 0000891839-19-000147 · edgar.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.09 to $2.14, inclusive. Mr. Continenza undertakes to provide to Eastman Kodak Company, any security holder of Eastman Kodak Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 20:31 UTC
Bullwinkle David ECFO and Senior Vice President
Exercise / conversionRestricted Stock Units · Derivative 6,159 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000132 · edgar.xml · derivative · entry 3

Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 6,159 shares

Expires 2019-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 20:31 UTC
Bullwinkle David ECFO and Senior Vice President
Tax withholdingCommon Stock, par value $.01 2,093 $2.40 $5,023.20
Disclosure

SEC source: 0000891839-19-000132 · edgar.xml · nonDerivative · entry 2

Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,855

F2 · shares: Shares withheld to cover tax withholding obligations on the vesting of restricted stock units.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 20:31 UTC
Bullwinkle David ECFO and Senior Vice President
Exercise / conversionCommon Stock, par value $.01 6,159 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000132 · edgar.xml · nonDerivative · entry 1

Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,948

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
June 11, 2019 Filed Jun 13, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 6,410 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000127 · edgar.xml · derivative · entry 4

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,821

Underlying: Common Stock, par value $.01 · 6,410 shares

Expires 2021-06-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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 6/11/2018 grant date.

F3 · derivative.exercise_date: 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 6/11/2018 grant date.

Read SEC document
June 11, 2019 Filed Jun 13, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionCommon Stock, par value $.01 6,410 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000127 · edgar.xml · nonDerivative · entry 1

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,762

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
GrantStock Option (Right to Buy) · Derivative 101,745 $0.00 Strike: $12.00 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · derivative · entry 17

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,745

Underlying: Common Stock, par value $.01 · 101,745 shares

Expires 2026-04-27

F11 · derivative.exercise_date: This option was 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 or Mr. Mahe's employment agreement, vests one-third on each of the first three anniversaries of the 4/28/2019 grant date.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
GrantStock Option (Right to Buy) · Derivative 70,565 $0.00 Strike: $5.45 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · derivative · entry 16

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,565

Underlying: Common Stock, par value $.01 · 70,565 shares

Expires 2026-04-27

F11 · derivative.exercise_date: This option was 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 or Mr. Mahe's employment agreement, vests one-third on each of the first three anniversaries of the 4/28/2019 grant date.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
GrantStock Option (Right to Buy) · Derivative 62,950 $0.00 Strike: $3.95 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · derivative · entry 15

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,950

Underlying: Common Stock, par value $.01 · 62,950 shares

Expires 2026-04-27

F11 · derivative.exercise_date: This option was 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 or Mr. Mahe's employment agreement, vests one-third on each of the first three anniversaries of the 4/28/2019 grant date.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
GrantStock Option (Right to Buy) · Derivative 54,348 $0.00 Strike: $2.45 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · derivative · entry 14

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,348

Underlying: Common Stock, par value $.01 · 54,348 shares

Expires 2026-04-27

F11 · derivative.exercise_date: This option was 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 or Mr. Mahe's employment agreement, vests one-third on each of the first three anniversaries of the 4/28/2019 grant date.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 11,437 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · derivative · entry 6

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,877

Underlying: Common Stock, par value $.01 · 11,437 shares

Expires 2021-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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 4/28/2018 grant date.

F3 · derivative.exercise_date: 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 4/28/2018 grant date.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,303 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · derivative · entry 5

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,304

Underlying: Common Stock, par value $.01 · 5,303 shares

Expires 2020-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: 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 4/28/2017 grant date.

F2 · derivative.exercise_date: 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 4/28/2017 grant date.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 4,737 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · derivative · entry 4

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 4,737 shares

Expires 2019-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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 4/28/2016 grant date.

F1 · derivative.exercise_date: 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 4/28/2016 grant date.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionCommon Stock, par value $.01 11,437 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · nonDerivative · entry 3

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,352

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionCommon Stock, par value $.01 5,303 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · nonDerivative · entry 2

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,915

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 28, 2019 Filed Apr 30, 2019 20:32 UTC
Mahe Eric-YvesSenior Vice President
Exercise / conversionCommon Stock, par value $.01 4,737 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000061 · edgar.xml · nonDerivative · entry 1

Mahe Eric-Yves · CIK 0001630350 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,612

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 08, 2019 Filed Apr 10, 2019 21:03 UTC Exercise / conversionRestricted Stock Units · Derivative 1,921 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000059 · edgar.xml · derivative · entry 3

Payne Christopher Joseph · CIK 0001705462 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 1,921 shares

Expires 2019-11-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F1 · shares: These restricted stock units convert into common stock on a one-for-one basis.

F1 · derivative.exercise_date: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
April 08, 2019 Filed Apr 10, 2019 21:03 UTC Tax withholdingCommon Stock, par value $.01 755 $2.93 $2,212.15
Disclosure

SEC source: 0000891839-19-000059 · edgar.xml · nonDerivative · entry 2

Payne Christopher Joseph · CIK 0001705462 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,656

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
April 08, 2019 Filed Apr 10, 2019 21:03 UTC Exercise / conversionCommon Stock, par value $.01 1,921 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000059 · edgar.xml · nonDerivative · entry 1

Payne Christopher Joseph · CIK 0001705462 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,411

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

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March 21, 2019 Filed Mar 25, 2019 20:44 UTC
Samuels EricCAO and Corp. Controller
Exercise / conversionRestricted Stock Units · Derivative 1,501 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000054 · edgar.xml · derivative · entry 4

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,503

Underlying: Common Stock, par value $.01 · 1,501 shares

Expires 2020-03-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: 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 3/21/2017 grant date.

F4 · derivative.exercise_date: 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 3/21/2017 grant date.

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March 21, 2019 Filed Mar 25, 2019 20:44 UTC
Samuels EricCAO and Corp. Controller
Tax withholdingCommon Stock, par value $.01 590 $3.18 $1,876.20
Disclosure

SEC source: 0000891839-19-000054 · edgar.xml · nonDerivative · entry 2

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,801

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

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March 21, 2019 Filed Mar 25, 2019 20:44 UTC
Samuels EricCAO and Corp. Controller
Exercise / conversionCommon Stock, par value $.01 1,501 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000054 · edgar.xml · nonDerivative · entry 1

Samuels Eric · CIK 0001466099 · CAO and Corp. Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,391

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
February 20, 2019 Filed Feb 22, 2019 21:57 UTC
CONTINENZA JAMES VDirector · Executive Chairman
GrantStock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $12.00 $0.00
Disclosure

SEC source: 0000891839-19-000034 · edgar.xml · derivative · entry 5

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock, par value $.01 · 200,000 shares

Expires 2026-02-19

F2 · derivative.exercise_date: This option was granted pursuant to Mr. Continenza's employment agreement, effective as of February 20, 2019, under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice or the employment agreement, this option vests immediately with respect to one-half of the grant, with the remainder vesting in four equal installments on each of May 20, 2019, August 20, 2019, November 20, 2019 and February 20, 2020.

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February 20, 2019 Filed Feb 22, 2019 21:57 UTC
CONTINENZA JAMES VDirector · Executive Chairman
GrantStock Option (Right to Buy) · Derivative 350,000 $0.00 Strike: $6.03 $0.00
Disclosure

SEC source: 0000891839-19-000034 · edgar.xml · derivative · entry 4

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock, par value $.01 · 350,000 shares

Expires 2026-02-19

F2 · derivative.exercise_date: This option was granted pursuant to Mr. Continenza's employment agreement, effective as of February 20, 2019, under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice or the employment agreement, this option vests immediately with respect to one-half of the grant, with the remainder vesting in four equal installments on each of May 20, 2019, August 20, 2019, November 20, 2019 and February 20, 2020.

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February 20, 2019 Filed Feb 22, 2019 21:57 UTC
CONTINENZA JAMES VDirector · Executive Chairman
GrantStock Option (Right to Buy) · Derivative 350,000 $0.00 Strike: $4.53 $0.00
Disclosure

SEC source: 0000891839-19-000034 · edgar.xml · derivative · entry 3

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock, par value $.01 · 350,000 shares

Expires 2026-02-19

F2 · derivative.exercise_date: This option was granted pursuant to Mr. Continenza's employment agreement, effective as of February 20, 2019, under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice or the employment agreement, this option vests immediately with respect to one-half of the grant, with the remainder vesting in four equal installments on each of May 20, 2019, August 20, 2019, November 20, 2019 and February 20, 2020.

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February 20, 2019 Filed Feb 22, 2019 21:57 UTC
CONTINENZA JAMES VDirector · Executive Chairman
GrantStock Option (Right to Buy) · Derivative 1,150,000 $0.00 Strike: $3.03 $0.00
Disclosure

SEC source: 0000891839-19-000034 · edgar.xml · derivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,150,000

Underlying: Common Stock, par value $.01 · 1,150,000 shares

Expires 2026-02-19

F2 · derivative.exercise_date: This option was granted pursuant to Mr. Continenza's employment agreement, effective as of February 20, 2019, under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice or the employment agreement, this option vests immediately with respect to one-half of the grant, with the remainder vesting in four equal installments on each of May 20, 2019, August 20, 2019, November 20, 2019 and February 20, 2020.

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January 16, 2019 Filed Jan 18, 2019 21:30 UTC
Byrd Roger W.General Counsel, Sec., SVP
GrantStock Option (Right to Buy) · Derivative 89,744 $0.00 Strike: $3.09 $0.00
Disclosure

SEC source: 0000891839-19-000025 · edgar.xml · derivative · entry 4

Byrd Roger W. · CIK 0001764007 · General Counsel, Sec., SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,744

Underlying: Common Stock, par value $.01 · 89,744 shares

Expires 2026-01-15

F3 · derivative.exercise_date: This option was granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and vests one-third on each of the first three anniversaries of the 1/16/2019 grant date.

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January 16, 2019 Filed Jan 18, 2019 21:30 UTC
Byrd Roger W.General Counsel, Sec., SVP
GrantRestricted Stock Units · Derivative 56,635 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000025 · edgar.xml · derivative · entry 2

Byrd Roger W. · CIK 0001764007 · General Counsel, Sec., SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,635

Underlying: Common Stock, par value $.01 · 56,635 shares

Expires 2022-01-16

F1 · derivative.exercise_price: 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 vest one-third on each of the first three anniversaries of the 1/16/2019 grant date.

F1 · derivative.exercise_date: 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 vest one-third on each of the first three anniversaries of the 1/16/2019 grant date.

Read SEC document
January 08, 2019 Filed Jan 10, 2018 21:22 UTC GrantRestricted Stock Units · Derivative 48,388 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-18-000014 · edgar.xml · derivative · entry 2

Parrett William G · CIK 0001418280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,388

Underlying: Common Stock, par value $.01 · 48,388 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 1/8/2019, subject to continuous service as a member of the board of directors.

F1 · derivative.exercise_date: 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 in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 1/8/2019, subject to continuous service as a member of the board of directors.

F1 · derivative.expiration_date: 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 in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 1/8/2019, subject to continuous service as a member of the board of directors.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 21:34 UTC GrantRestricted Stock Units · Derivative 52,817 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000014 · edgar.xml · derivative · entry 4

Engelberg Jeffrey D. · CIK 0001706935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,817

Underlying: Common Stock, par value $.01 · 52,817 shares

Expires not disclosed

F3 · derivative.exercise_price: 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 1/8/2020, subject to continuous service as a member of the board of directors.

F3 · derivative.exercise_date: 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 1/8/2020, subject to continuous service as a member of the board of directors.

F3 · derivative.expiration_date: 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 1/8/2020, subject to continuous service as a member of the board of directors.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 21:34 UTC Exercise / conversionRestricted Stock Units · Derivative 48,388 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000014 · edgar.xml · derivative · entry 3

Engelberg Jeffrey D. · CIK 0001706935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 48,388 shares

Expires 2019-01-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 21:34 UTC Exercise / conversionCommon Stock, par value $.01 48,388 $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000014 · edgar.xml · nonDerivative · entry 1

Engelberg Jeffrey D. · CIK 0001706935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,388

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 21:33 UTC GrantRestricted Stock Units · Derivative 52,817 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000891839-19-000013 · edgar.xml · derivative · entry 3

BRADLEY RICHARD TODD · CIK 0001203500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,817

Underlying: Common Stock, par value $.01 · 52,817 shares

Expires not disclosed

F2 · derivative.exercise_price: 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 1/8/2020, subject to continuous service as a member of the board of directors.

F2 · derivative.exercise_date: 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 1/8/2020, subject to continuous service as a member of the board of directors.

F2 · derivative.expiration_date: 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 1/8/2020, subject to continuous service as a member of the board of directors.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.