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EASTMAN KODAK CO — Director's Dealing 2021
Mar 3, 2021
32793_dirs_2021-03-02_b0ed2eb2-a958-464c-b5dd-0ea13a5558ef.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: 2021-02-26
Reporting Person: CONTINENZA JAMES V (Director, Executive Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-26 | Common Stock, par value $.01 | A | 200000 | — | Acquired | 850000 | Direct |
| 2021-02-26 | Common Stock, par value $.01 | F | 61369 | $8.62 | Disposed | 788631 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-26 | Restricted Stock Units | $0 | A | 300000 | Acquired | Common Stock, par value $.01 (300000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $3.03 | 2026-02-19 | Common Stock, par value $.01 (981707) | 981707 | Direct |
| Stock Option (Right to Buy) | $4.53 | 2026-02-19 | Common Stock, par value $.01 (298780) | 298780 | Direct |
| Stock Option (Right to Buy) | $6.03 | 2026-02-19 | Common Stock, par value $.01 (298780) | 298780 | Direct |
| Stock Option (Right to Buy) | $12 | 2026-02-19 | Common Stock, par value $.01 (170733) | 170733 | Direct |
| Stock Option (Right to Buy) | $3.03 | 2026-02-19 | Common Stock, par value $.01 (1150000) | 1150000 | Direct |
| Stock Option (Right to Buy) | $4.53 | 2026-02-19 | Common Stock, par value $.01 (350000) | 350000 | Direct |
| Stock Option (Right to Buy) | $6.03 | 2026-02-19 | Common Stock, par value $.01 (350000) | 350000 | Direct |
| Stock Option (Right to Buy) | $12.00 | 2026-02-19 | Common Stock, par value $.01 (200000) | 200000 | Direct |
| Phantom Stock | $0 | Common Stock, par value $.01 (241589) | 241589 | Direct |
Footnotes
F1: Reflects restricted stock units, which immediately vested and converted into common stock on a one-for-one basis. These restricted stock units were granted under the Company's Amended and Restated 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3.
F2: Shares withheld to cover tax withholding obligations on the vesting of restricted stock units.
F3: These restricted stock units were granted under the Company's Amended and Restated 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 2/26/2022, 2/26/2023, and 2/26/2024.
F4: This option is fully vested as of the date of this report.
F5: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Continenza in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments.