Statement of Changes in Beneficial Ownership (4)
May 20 2021 - 7:16PM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Engelberg Jeffrey D. |
2. Issuer Name and Ticker or Trading Symbol
EASTMAN KODAK CO
[
KODK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O EASTMAN KODAK COMPANY, 343 STATE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/18/2021 |
(Street)
ROCHESTER, NY 14650
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $.01 | 5/18/2021 | | M | | 7159 | A | $0 (2) | 213680 | D | |
Common Stock, par value $.01 | | | | | | | | 2534892 | I | See footnote (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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 |
Restricted Stock Units | $0 (2) | 5/18/2021 | | M | | | 7159 | 5/18/2021 | 5/18/2021 | Common Stock, par value $.01 | 7159 | $0 | 0 | D | |
Stock Option (Right to Buy) | $3.03 | | | | | | | (3) | 5/19/2027 | Common Stock, par value $.01 | 21081 | | 21081 | D | |
Stock Option (Right to Buy) | $4.53 | | | | | | | (3) | 5/19/2027 | Common Stock, par value $.01 | 6416 | | 6416 | D | |
Stock Option (Right to Buy) | $6.03 | | | | | | | (3) | 5/19/2027 | Common Stock, par value $.01 | 6416 | | 6416 | D | |
Stock Option (Right to Buy) | $12.00 | | | | | | | (3) | 5/19/2027 | Common Stock, par value $.01 | 3666 | | 3666 | D | |
Series B Covertible Preferred Stock | $10.5 | | | | | | | (4) | 5/28/2026 | Common Stock, par value $.01 | 476190 | | 50000 | I | See footnote (1) |
Explanation of Responses: |
(1) | These securities are owned directly by C2W Partners Master Fund Limited ("C2W"). Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W 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. |
(2) | These restricted stock units convert into common stock on a one-for-one basis. |
(3) | This option has fully vested as of the date of this report. |
(4) | The convertible preferred stock is convertible at any time, at the holder's election. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Engelberg Jeffrey D. C/O EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER, NY 14650 | X |
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Signatures
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/s/ Roger W. Byrd, Attorney-in-fact for Jeffrey D. Engelberg | | 5/20/2021 |
**Signature of Reporting Person | Date |
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