EASTMAN KODAK CO $508,000,000 Financing

EASTMAN KODAK CO just submitted form D announcing $508,000,000 debt financing. This is a new filing. EASTMAN KODAK CO was able to sell $288,000,000. That is 57% of the round of financing. The total private offering amount was $508,000,000. The financing was made by 4 investors. Minimal accepted investment was $288,000,000. The financing document was filed on 2009-10-13. EASTMAN KODAK CO is based in 343 STATE ST ROCHESTER 14650-0910. The firm's business is Other. The firm's revenue range is Over $100,000,000. The form was signed by .

SEC FORM D

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0000031235
X Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
EASTMAN KODAK CO
Jurisdiction of Incorporation/Organization
NEW JERSEY
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
EASTMAN KODAK CO
Street Address 1 Street Address 2
343 STATE ST
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
ROCHESTER NY 14650 7167244000

3. Related Persons

Last Name First Name Middle Name
Berman Robert L.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Faraci Philip J.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Haag Joyce P.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Kruchten Brad W.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Clammer Adam H.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

The above-named director was elected to the Issuer's board of directors pursuant to the terms of that certain Note & Warrant Purchase Agreement dated 09/16/2009, to which agreement the securities were offered and issued.
Last Name First Name Middle Name
Chen Herald Y.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

The above-named director was elected to the Issuer's board of directors pursuant to the terms of that certain Note & Warrant Purchase Agreement dated 09/16/2009, to which agreement the securities were offered and issued.
Last Name First Name Middle Name
Perez Antonio M.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Sklarsky Frank S.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Taber Terry R.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Samuels Eric H.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Braddock Richard S.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Donahue Timothy M.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Hawley Michael
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Hernandez William H.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Lebda Douglas R.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Lee Debra L.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Lewis Delano E.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Parrett William G.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Seligman Joel
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Strigl Dennis F.
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Tyson Laura D'Andrea
Street Address 1 Street Address 2
343 State Street
City State/Province/Country ZIP/PostalCode
Rochester NY 14650
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
Retailing
  
Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
X
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
X Over $100,000,000    Over $100,000,000
   Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))    Rule 505
   Rule 504 (b)(1)(i) X Rule 506
   Rule 504 (b)(1)(ii)    Securities Act Section 4(5)
   Rule 504 (b)(1)(iii)    Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

X New Notice Date of First Sale 2009-09-29    First Sale Yet to Occur
   Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   Yes X No

9. Type(s) of Securities Offered (select all that apply)

   Equity    Pooled Investment Fund Interests
X Debt    Tenant-in-Common Securities
X Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
X Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $288,000,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
Street Address 1 Street Address 2
City State/Province/Country ZIP/Postal Code
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount $508,000,000 USD
or    Indefinite
Total Amount Sold $288,000,000 USD
Total Remaining to be Sold $220,000,000 USD
or    Indefinite

Clarification of Response (if Necessary):

The total offering amount includes (i) $288 mil. from the sale of notes ($300 mil. principal) and warrants for 40 mil. shares of common stock at a strike price of $5.50/share and (ii) $220 mil. that may be received upon full cash exercise of the warrants.

14. Investors

  
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
4

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $12,000,000 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

Kohlberg Kravis Roberts & Co. L.P. was paid a placement fee of $12 million but has conducted no solitication in regards to such purchase.

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
   Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
EASTMAN KODAK CO Patrick M. Sheller Patrick M. Sheller Secretary 2009-10-13

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.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.


EASTMAN KODAK CO Financing

DateFiling TypeOfferedSoldRemainingMin. investmentInvest. countExemption / Exlusions
2013-09-10New Form DIndefinite$17,190,245Indefinite$01706[view]
Includes common stock and warrants to purchase common stock, issued to certain creditors on account of unsecured claims under Chapter 11 Plan of the Company and certain subsidiaries, and common stock issuable on exercise of such warrants.
2013-08-08New Form D$426,300,006$90,762,018$335,537,988$04006[view]
The Total Offering Amount includes shares of common stock available for purchase in a rights offering, shares issuable pursuant to certain parties' backstop commitments in connection therewith, and shares issuable in payment of backstop fees.
2009-10-13New Form D$508,000,000$288,000,000$220,000,000$288,000,000406[view]
The total offering amount includes (i) $288 mil. from the sale of notes ($300 mil. principal) and warrants for 40 mil. shares of common stock at a strike price of $5.50/share and (ii) $220 mil. that may be received upon full cash exercise of the warrants.

EASTMAN KODAK CO List of Executives

Adam Clammer, Antonio Perez, Brad Kruchten, Debra Lee, Delano Lewis, Dennis Strigl, Derek Smith, Douglas Edwards, Douglas Lebda, Eric Samuels, Frank Sklarsky, George Karfunkel, Herald Chen, James Continenza, Jason New, Joel Seligman, John Janitz, Joyce Haag, Kyle Legg, Laura Quatela, Laura Tyson, Mark Burgess, Matthew Doheny, Michael Hawley, Patrick Sheller, Philip Faraci, Rebecca Roof, Richard Braddock, Robert Berman, Terry Taber, Timothy Donahue, William Hernandez, William Parrett