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EASTMAN KODAK CO — Director's Dealing 2017
Apr 18, 2017
32793_dirs_2017-04-18_8981c4d2-84f8-49c1-a9fa-3f0d21f0f8f6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: EASTMAN KODAK CO (KODK)
CIK: 0000031235
Period of Report: 2017-04-17
Reporting Person: Samuels Eric (CAO and Corp. Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-17 | Common Stock, par value $.01 | S | 540 | $9.65 | Disposed | 5065 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0 | 2017-09-03 | Common Stock, par value $.01 (2104) | 2104 | Direct |
| Restricted Stock Units | $0 | 2018-09-03 | Common Stock, par value $.01 (7269) | 7269 | Direct |
| Restricted Stock Units | $0 | 2019-09-03 | Common Stock, par value $.01 (9628) | 9628 | Direct |
| Restricted Stock Units | $0 | 2020-03-21 | Common Stock, par value $.01 (4505) | 4505 | Direct |
| Stock Option (Right to Buy) | $23.78 | 2021-09-02 | Common Stock, par value $.01 (19012) | 19012 | Direct |
| Stock Option (Right to Buy) | $13.76 | 2022-09-02 | Common Stock, par value $.01 (26087) | 26087 | Direct |
| Stock Option (Right to Buy) | $15.58 | 2023-09-02 | Common Stock, par value $.01 (25467) | 25467 | Direct |
| Stock Option (Right to Buy) | $11.10 | 2024-03-20 | Common Stock, par value $.01 (11161) | 11161 | Direct |
| 125% Warrants to purchase Common Stock, par value $.01 | $14.93 | 2018-09-03 | Common Stock, par value $.01 (8) | 8 | Direct |
| 135% Warrants to purchase Common Stock, par value $.01 | $16.12 | 2018-09-03 | Common Stock, par value $.01 (8) | 8 | Direct |
Footnotes
F1: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Samuels on 11/22/2016.
F2: 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.
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 each of the first three anniversaries of the 3/21/2017 grant 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 each of the first three anniversaries of the 3/21/2017 grant 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.