Statement of Changes in Beneficial Ownership (4)
September 08 2021 - 6:08PM
Edgar (US Regulatory)
FORM 4
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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
*
O'Grady John G. |
2. Issuer Name and Ticker or Trading Symbol
EASTMAN KODAK CO
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KODK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice President |
(Last)
(First)
(Middle)
EASTMAN KODAK COMPANY, 343 STATE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/3/2021 |
(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 | 9/3/2021 | | M | | 10686 | A | $0 (1) | 52034 | D | |
Common Stock, par value $.01 | 9/3/2021 | | F | | 3217 (2) | D | $7.22 | 48817 | D | |
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 (3) | 9/3/2021 | | M | | | 10686 | (3) | 9/3/2021 | Common Stock, par value $.01 | 10686 | $0 | 0 | D | |
Stock Option (Right to Buy) | $13.76 | | | | | | | (4) | 9/2/2022 | Common Stock, par value $.01 | 25218 | | 25218 | D | |
Stock Option (Right to Buy) | $15.58 | | | | | | | (4) | 9/2/2023 | Common Stock, par value $.01 | 29712 | | 29712 | D | |
Stock Option (Right to Buy) | $15.20 | | | | | | | (4) | 11/14/2023 | Common Stock, par value $.01 | 39247 | | 39247 | D | |
Stock Option (Right to Buy) | $3.90 | | | | | | | (4) | 12/3/2025 | Common Stock, par value $.01 | 51441 | | 51441 | 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 on the vesting of restricted stock units. |
(3) | These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on each of 9/3/2019, 9/3/2020 and 9/3/2021. |
(4) | These securities are fully vested as of the date of this report. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
O'Grady John G. EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER, NY 14650 |
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| Vice President |
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Signatures
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/s/ Roger W. Byrd, Attorney-in-fact for John O'Grady | | 9/8/2021 |
**Signature of Reporting Person | Date |
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