Statement of Changes in Beneficial Ownership (4)

Date : 03/25/2019 @ 8:46PM
Source : Edgar (US Regulatory)
Stock : Eastman Kodak Company Common New (KODK)
Quote : 2.59  0.04 (1.57%) @ 5:51PM

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)

3/21/2019
(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   3/21/2019     M    1501   A $0   (1) 14391   D  
 
Common Stock, par value $.01   3/21/2019     F    590   (2) D $3.18   13801   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)                    (3) 9/3/2019   Common Stock, par value $.01   3210     3210   D  
 
Restricted Stock Units   $0   (4) 3/21/2019     M         1501      (4) 3/21/2020   Common Stock, par value $.01   1501   $0   1503   D  
 
Restricted Stock Units   $0   (5)                    (5) 9/3/2021   Common Stock, par value $.01   12821     12821   D  
 
Stock Option (Right to Buy)   $23.78                      (6) 9/2/2021   Common Stock, par value $.01   19012     19012   D  
 
Stock Option (Right to Buy)   $13.76                      (7) 9/2/2022   Common Stock, par value $.01   26087     26087   D  
 
Stock Option (Right to Buy)   $15.58                      (8) 9/2/2023   Common Stock, par value $.01   25467     25467   D  
 
Stock Option (Right to Buy)   $11.10                      (9) 3/20/2024   Common Stock, par value $.01   11161     11161   D  
 
Stock Option (Right to Buy)   $12.50                      (10) 9/13/2024   Common Stock, par value $.01   101523     101523   D  
 
Stock Option (Right to Buy)   $3.90                      (11) 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 restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/2016 grant date.
(4)  These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 3/21/2017 grant date.
(5)  These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of 9/3/2018.
(6)  This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.
(7)  This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.
(8)  This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date.
(9)  This option vests one-third on each of the first three anniversaries of the 3/21/2017 grant date.
(10)  This option vests one-third on each of the first three anniversaries of the 9/14/2017 grant date.
(11)  This option vests one-third on each of the first three anniversaries of 9/3/2018.

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/ Kim Zampatori, Attorney-in-fact for Eric H. Samuels 3/25/2019
** 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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