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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 | ||||||||
125% Warrants (1) (2) (3) (4) | $ 14.93 | 08/13/2015 | S | 33,628 | 09/03/2013 | 09/03/2018 | Common Stock | 33,628 | $ 3.61 | 0 | D | ||||
135% Warrants (1) (2) (3) (4) | $ 16.12 | 08/13/2015 | S | 33,628 | 09/03/2013 | 09/03/2018 | Common Stock | 33,628 | $ 2.88 | 0 | D | ||||
125% Warrants (1) (2) (3) (4) | $ 14.93 | 08/13/2015 | S | 33,628 | 09/03/2013 | 09/03/2018 | Common Stock | 33,628 | $ 3.61 | 6,570 | I | Notes (1) (2) | |||
135% Warrants (1) (2) (3) (4) | $ 16.12 | 08/13/2015 | S | 33,628 | 09/03/2013 | 09/03/2018 | Common Stock | 33,628 | $ 2.88 | 6,570 | I | Notes (1) (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BlueMountain Long/Short Credit Master Fund L.P. 280 PARK AVENUE, 12TH FLOOR NEW YORK, NY 10017 |
X | |||
BlueMountain Long/Short Credit GP, LLC 280 PARK AVENUE, 12TH FLOOR NEW YORK, NY 10017 |
X |
BlueMountain Long/Short Credit Master Fund L.P., By: /s/ Eric M. Albert, Chief Compliance Officer | 08/17/2015 | |
**Signature of Reporting Person | Date | |
BlueMountain Long/Short Credit GP, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer | 08/17/2015 | |
**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 Long/Short Credit GP, LLC ("BMLSC GP") 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, BMLSC GP disclaims such beneficial ownership, except to the extent of its pecuniary interest. |
(2) | BlueMountain Capital Management, LLC ("BMCM") is the investment manager of BlueMountain Long/Short Credit Master Fund L.P. ("BMLSC"), and in that capacity directs the voting and disposition of securities held by BMLSC and receives an asset-based fee with respect to BMLSC's investment activities. BMLSC GP serves as the general partner of BMLSC and in that capacity receives a performance based allocation. |
(3) | On August 13, 2015, BMLSC sold 494,083 shares of Common Stock, 33,628 125% Warrants and 33,628 135% Warrants to BlueMountain Montenvers Master Fund SCA SICAV-SIF ("BMMMF") and 485,690 shares of Common Stock to BlueMountain Summit Trading L.P. ("Summit"), both of which are private funds for which BMCM also acts as investment manager. Such sale represented all of the Common Stock, 125% Warrants and 135% Warrants held by BMLSC. BMLSC GP, BlueMountain Summit Opportunities GP II, LLC, the general partner of Summit, and BlueMountain Montenvers Holdings, LLC, the holder of carry shares in BMMMF, are all wholly owned subsidiaries of BlueMountain GP Holdings, LLC ("GP Holdings"); accordingly the transaction described in this Form 4 had no effect on the pecuniary interest held by GP Holdings in the Common Stock, the 125% Warrants and the 135% Warrants. |
(4) | The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16(a)-3(j) under the Exchange Act. |