Amended Statement of Beneficial Ownership (3/a)
August 08 2019 - 2:28PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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JORDAN CLARK LINDBERG
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/1/2019
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3. Issuer Name
and
Ticker or Trading Symbol
EASTMAN CHEMICAL CO [EMN]
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(Last)
(First)
(Middle)
200 S. WILCOX DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
VP, CLO and Corp. Sec'y /
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(Street)
KINGSPORT, TN 37660
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/8/2019
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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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1491
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D
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Common Stock
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1025
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I
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By ESOP
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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2/28/2020
(1)
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2/27/2029
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Common Stock
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5166
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$82.69
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D
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Employee Stock Option (right to buy)
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2/26/2019
(2)
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2/25/2028
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Common Stock
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5127
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$104.21
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D
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Employee Stock Option (right to buy)
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2/28/2018
(3)
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2/27/2027
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Common Stock
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16225
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$80.25
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D
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Employee Stock Option (right to buy)
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2/26/2019
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2/25/2026
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Common Stock
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4843
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$65.16
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D
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Employee Stock Option (right to buy)
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2/27/2018
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2/26/2025
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Common Stock
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3463
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$74.46
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D
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Employee Stock Option (right to buy)
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2/28/2017
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2/27/2024
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Common Stock
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1797
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$87.43
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D
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Employee Stock Option (right to buy)
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2/28/2016
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2/27/2023
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Common Stock
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1682
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$69.73
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D
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Restricted Stock Units
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2/28/2020
(4)
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2/28/2020
(4)
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Common Stock
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1750
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(4)
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D
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Explanation of Responses:
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(1)
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One-third of option becomes excercisable on each of February 28, 2020, February 28, 2021, and February 28, 2022.
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(2)
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One-third of option became excercisable on February 26, 2019 and one-third of option becomes excercisable on each of February 26, 2020 and February 26, 2021.
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(3)
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One-third of option became excercisable on each of February 28, 2018 and February 28, 2019 and one-third of option becomes execercisable on February 28, 2020.
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(4)
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Each Restricted Stock Unit represents a contingent right to receive one share of issuer common stock subject to continued employment.
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Remarks:
Form 3, initially filed on August 8, 2019, amended to correct Power of Attorney filed as Exhibit 24.
Exhibit 24A - Power of Attorney (corrected from Exhibit 24 filed with Form 3 initially filed August 8, 2019.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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JORDAN CLARK LINDBERG
200 S. WILCOX DRIVE
KINGSPORT, TN 37660
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VP, CLO and Corp. Sec'y
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Signatures
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/s/ Brian L. Henry, by Power of Attorney
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8/8/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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