Statement of Changes in Beneficial Ownership (4)

Date : 09/05/2019 @ 8:32PM
Source : Edgar (US Regulatory)
Stock : Eastman Kodak Company (KODK)
Quote : 2.43  0.08 (3.40%) @ 12:59AM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] 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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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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
                      

1. Name and Address of Reporting Person *

Samuels Eric
2. Issuer Name and Ticker or Trading Symbol

EASTMAN KODAK CO [ KODK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
CAO and Corp. Controller
(Last)          (First)          (Middle)

EASTMAN KODAK COMPANY, 343 STATE STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

9/3/2019
(Street)

ROCHESTER, NY 14650
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $.01  9/3/2019    M    3210  A $0 (1) 17011  D 
 
Common Stock, par value $.01  9/3/2019    F    1091 (2) D $2.38  15920  D 
 
Common Stock, par value $.01  9/3/2019    M    4273  A $0 (1) 20193  D 
 
Common Stock, par value $.01  9/3/2019    F    1452 (2) D $2.38  18741  D 
 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 (3) 9/3/2019    M        3210    (3) 9/3/2019  Common Stock, par value $.01  3210  $0  0  D 
 
Restricted Stock Units  $0 (4)                  (4) 3/21/2020  Common Stock, par value $.01  1501    1503  D 
 
Restricted Stock Units  $0 (5) 9/3/2019    M        4273    (5) 9/3/2021  Common Stock, par value $.01  4273  $0  8548  D 
 
Stock Option (Right to Buy)  $23.78                   (3) 9/2/2021  Common Stock, par value $.01  19012    19012  D 
 
Stock Option (Right to Buy)  $13.76                   (3) 9/2/2022  Common Stock, par value $.01  26087    26087  D 
 
Stock Option (Right to Buy)  $15.58                   (3) 9/2/2023  Common Stock, par value $.01  25467    25467  D 
 
Stock Option (Right to Buy)  $11.10                   (6) 3/20/2024  Common Stock, par value $.01  11161    11161  D 
 
Stock Option (Right to Buy)  $12.50                   (7) 9/13/2024  Common Stock, par value $.01  101523    101523  D 
 
Stock Option (Right to Buy)  $3.90                   (8) 12/3/2025  Common Stock, par value $.01  20577    20577  D 
 

Explanation of Responses:
(1)  These restricted stock units convert into common stock on a one-for-one basis.
(2)  Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.
(3)  These securities are fully vested as of the date of this report.
(4)  These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on each of 3/21/2018 and 3/21/2019 and vest one-third on 3/21/2020.
(5)  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.
(6)  This option vested one-third on each of 3/21/2018 and 3/21/2019 and vests one-third on 3/21/2020.
(7)  This option vested one-third on 9/14/2018 and vests one-third on each of 9/14/2019 and 9/14/2020.
(8)  This option vested one-third on 9/3/2019 and vests one-third on each of 9/3/2020 and 9/3/2021.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Samuels Eric
EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER, NY 14650


CAO and Corp. Controller

Signatures
/s/ Roger W. Byrd, Attorney-in-fact for Eric H. Samuels 9/5/2019
**Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.

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