|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
125% Warrants (1) (3) (4) | $ 14.93 | 04/14/2015 | S | 5,884 | 09/03/2013 | 09/03/2018 | Common Stock | 5,884 | $ 6.29 | 0 | D | ||||
135% Warrants (1) (3) (4) | $ 16.12 | 04/14/2015 | S | 5,884 | 09/03/2013 | 09/03/2018 | Common Stock | 5,884 | $ 5.59 | 0 | D | ||||
125% Warrants (1) (2) (3) (4) | $ 14.93 | 04/14/2015 | S | 5,884 | 09/03/2013 | 09/03/2018 | Common Stock | 5,884 | $ 6.29 | 255,679 | I | Footnotes (1) (2) (3) | |||
135% Warrants (1) (2) (3) (4) | $ 16.12 | 04/14/2015 | S | 5,884 | 09/03/2013 | 09/03/2018 | Common Stock | 5,884 | $ 5.59 | 255,679 | I | Footnotes (1) (2) (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BlueMountain Capital Management, LLC 280 PARK AVENUE, 12TH FLOOR NEW YORK, NY 10017 |
X | |||
BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund PLC 280 PARK AVENUE, 12TH FLOOR NEW YORK, NY 10017 |
X |
BlueMountain Capital Management, LLC, By: /s/ Paul Friedman, Chief Compliance Officer | 04/14/2015 | |
**Signature of Reporting Person | Date | |
BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund PLC, By: BlueMountain Capital Management, LLC, By: /s/ Paul Friedman, Chief Compliance Officer | 04/14/2015 | |
**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) | The filing of this Form 4 shall not be construed as an admission that BlueMountain Capital Management, LLC ("BMCM") 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 (i) the shares of Common Stock, par value $0.01 per share (the "Common Stock") of Eastman Kodak Company (the "Issuer"), (ii) any warrants to purchase shares of Common Stock at an exercise price of $14.93 (the "125% Warrants") or (iii) any warrants to purchase shares of Common Stock at an exercise price of $16.12 (the "135% Warrants"). Pursuant to Rule 16a-1(a)(4) of the Exchange Act, BMCM disclaims such beneficial ownership, except to the extent of its pecuniary interest. |
(2) | BMCM is the investment manager of BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund plc ("AAI"), and in that capacity directs the voting and disposition of securities held by AAI and receives an asset-based and performance-based fee with respect to AAI's investment activities. |
(3) | On April 14, 2015, AAI disposed of 171,471 shares of Common Stock, 5,884 125% Warrants and 5,884 135% Warrants, representing all of the Common Stock, 125% Warrants and 135% Warrants held by AAI. All such securities were issued to AAI pursuant to the Issuer's First Amended Joint Plan of Reorganization (the "Plan"). Under the Plan, holders of Class 4 General Unsecured Claims and Class 6 Retiree Settlement Unsecured Claims such as AAI were issued Common Stock, 125% Warrants and 135% Warrants in respect of such claims. |
(4) | The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16(a)-3(j) under the Exchange Act. |