EASTMAN KODAK CO — Director's Dealing 2017

Sep 6, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: EASTMAN KODAK CO (KODK)
CIK: 0000031235
Period of Report: 2017-09-03

Reporting Person: O'Grady John G. (GM, WW Sales, Senior VP)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-09-03	Common Stock, par value $.01	M	2034	—	Acquired	3185	Direct
2017-09-03	Common Stock, par value $.01	F	679	$7.80	Disposed	2506	Direct
2017-09-03	Common Stock, par value $.01	M	3512	—	Acquired	6018	Direct
2017-09-03	Common Stock, par value $.01	F	1172	$7.80	Disposed	4846	Direct
2017-09-03	Common Stock, par value $.01	M	3744	—	Acquired	8590	Direct
2017-09-03	Common Stock, par value $.01	F	1249	$7.80	Disposed	7341	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-09-03	Restricted Stock Units	$0	M	2034	Disposed	2017-09-03	Common Stock, par value $.01 (2034)	Direct
2017-09-03	Restricted Stock Units	$0	M	3512	Disposed	2018-09-03	Common Stock, par value $.01 (3512)	Direct
2017-09-03	Restricted Stock Units	$0	M	3744	Disposed	2019-09-03	Common Stock, par value $.01 (3744)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Restricted Stock Units	$0	2020-09-03	Common Stock, par value $.01 (16448)	16448	Direct
Stock Option (Right to Buy)	$23.78	2021-09-02	Common Stock, par value $.01 (18378)	18378	Direct
Stock Option (Right to Buy)	$13.76	2022-09-02	Common Stock, par value $.01 (25218)	25218	Direct
Stock Option (Right to Buy)	$15.58	2023-09-02	Common Stock, par value $.01 (29712)	29712	Direct
Stock Option (Right to Buy)	$15.20	2023-11-14	Common Stock, par value $.01 (39247)	39247	Direct
125% Warrants to purchase Common Stock, par value $.01	$14.93	2018-09-03	Common Stock, par value $.01 (169)	169	Direct
135% Warrants to purchase Common Stock, par value $.01	$16.12	2018-09-03	Common Stock, par value $.01 (169)	169	Direct

Footnotes

F1: 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 9/3/2014 grant date.

F2: Shares withheld to cover tax withholding obligations on the vesting of restricted stock units.

F3: 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 9/3/2015 grant date.

F4: 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.

F5: These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on 9/3/2018 and one-third on each of the first two anniversaries of such date.

F6: This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.

F7: This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.

F8: This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date.

F9: This option vests one-third on 9/3/2018 and one-third on each of the first two anniversaries of such date.

F10: Each of these Warrants entitles the holder to purchase one share of common stock; however, for each Warrant exercised, the holder will receive a net share amount equal to the number of shares issuable upon the exercise multiplied by the closing sale price of the common stock on the exercise date minus the exercise price, divided by the closing sale price, together with cash for any fractional shares.