Statement of Changes in Beneficial Ownership (4)
16 June 2020 - 7:10AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Katz Philippe D |
2. Issuer Name and Ticker or Trading Symbol
EASTMAN KODAK CO
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KODK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O EASTMAN KODAK COMPANY, 343 STATE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/11/2020 |
(Street)
ROCHESTER, NY 14650
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $.01 | 6/11/2020 | | P | | 5000 | A | $2.48 | 111368 | D | |
Common Stock, par value $.01 | | | | | | | | 2522011 | I | Owned by KF Investors LLC (1) |
Common Stock, par value $.01 | | | | | | | | 1569870 | I | Owned by Momar Corporation (2) |
Common Stock, par value $.01 | | | | | | | | 7598 | I | Owned by United Equities Commodities Company (3) |
Common Stock, par value $.01 | | | | | | | | 87720 | I | Owned by Marneu Holding Company (4) |
Common Stock, par value $.01 | | | | | | | | 48875 | I | Owned by 111 John Realty Corp. (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $3.03 | | | | | | | (6) | 5/19/2027 | Common Stock, par value $.01 | 25297 | | 25297 | D | |
Stock Option (Right to Buy) | $4.53 | | | | | | | (6) | 5/19/2027 | Common Stock, par value $.01 | 7699 | | 7699 | D | |
Stock Option (Right to Buy) | $6.03 | | | | | | | (6) | 5/19/2027 | Common Stock, par value $.01 | 7699 | | 7699 | D | |
Stock Option (Right to Buy) | $12.00 | | | | | | | (6) | 5/19/2027 | Common Stock, par value $.01 | 4400 | | 4400 | D | |
Restricted Stock Units | $0 (7) | | | | | | | (7) | (7) | Common Stock, par value $.01 | 46729 | | 46729 | D | |
Explanation of Responses: |
(1) | Mr. Katz disclaims beneficial ownership of the securities held by KF Investors LLC, an entity of which Mr. Katz is a managing member, except to the extent of his pecuniary interest therein. |
(2) | Mr. Katz disclaims beneficial ownership of the securities held by Momar Corporation, an entity in which Mr. Katz has an ownership interest, except to the extent of his pecuniary interest therein. |
(3) | Mr. Katz disclaims beneficial ownership of the securities held by United Equities Commodities Company, an entity of which Mr. Katz is a general partner, except to the extent of his pecuniary interest therein. |
(4) | Mr. Katz disclaims beneficial ownership of the securities held by Marneu Holding Company, an entity of which Mr. Katz is a partner, except to the extent of his pecuniary interest therein. |
(5) | Mr. Katz disclaims beneficial ownership of the securities held by 111 John Realty Corp., an entity in which Mr. Katz has an ownership interest, except to the extent of his pecuniary interest therein. |
(6) | This option vests one-third on each of 6/30/2020, 9/30/2020, and 12/31/2020. |
(7) | Except as otherwise provided in the award notice, these restricted stock units, which convert into common stock on a one-for-one basis, vest on 1/8/2021, subject to continuous service as a member of the board of directors. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Katz Philippe D C/O EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER, NY 14650 | X | X |
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Signatures
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/s/ Roger W. Byrd, Attorney-in-fact for Philippe D. Katz | | 6/15/2020 |
**Signature of Reporting Person | Date |
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