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EASTMAN KODAK CO — Director's Dealing 2021
May 21, 2021
32793_dirs_2021-05-20_3a5e4f72-45b6-4a6b-b282-f92b91393c14.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: 2021-05-18
Reporting Person: New Jason Griffin (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-18 | Common Stock, par value $.01 | M | 7159 | — | Acquired | 66894 | Direct |
| 2021-05-19 | Common Stock, par value $.01 | A | 9000 | — | Acquired | 75894 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-18 | Restricted Stock Units | $0 | M | 7159 | Disposed | 2021-05-18 | Common Stock, par value $.01 (7159) | Direct |
| 2021-05-19 | Restricted Stock Units | $0 | A | 10000 | Acquired | Common Stock, par value $.01 (10000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $3.03 | 2027-05-19 | Common Stock, par value $.01 (21081) | 21081 | Direct |
| Stock Option (Right to Buy) | $4.53 | 2027-05-19 | Common Stock, par value $.01 (6416) | 6416 | Direct |
| Stock Option (Right to Buy) | $6.03 | 2027-05-19 | Common Stock, par value $.01 (6416) | 6416 | Direct |
| Stock Option (Right to Buy) | $12.00 | 2027-05-19 | Common Stock, par value $.01 (3666) | 3666 | Direct |
Footnotes
F1: These restricted stock units convert into common stock on a one-for-one basis.
F2: This restricted stock award was granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests in four equal installments on August 18, 2021, November 18, 2021, February 18, 2022 and the day immediately preceding the Company's 2022 annual meeting of shareholders, with pro rata vesting upon Mr. New's separation from service prior to vesting.
F3: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2022 annual meeting of shareholders.
F4: This option has fully vested as of the date of this report.