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KODK Eastman Kodak Company

4.70
0.17 (3.75%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Eastman Kodak Company NYSE:KODK NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.17 3.75% 4.70 4.77 4.60 4.60 590,802 01:00:00

Statement of Changes in Beneficial Ownership (4)

12/01/2021 11:23pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Engelberg Jeffrey D.
2. Issuer Name and Ticker or Trading Symbol

EASTMAN KODAK CO [ KODK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O EASTMAN KODAK COMPANY, 343 STATE STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

9/30/2020
(Street)

ROCHESTER, NY 14650
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $.01 1/8/2021  M  46729 A$0 (1)206521 D  
Common Stock, par value $.01 9/30/2020  C  1574892 A$3.175 (2)2534892 I See footnote (3)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units $0 (1)1/8/2021  M     46729  1/8/2021 1/8/2021 Common Stock, par value $.01 46729 $0 0 D  
5% Secured Convertible Notes $3.175 (2)9/30/2020  C     1574892  9/10/2019  (4)Common Stock, par value $.01 1574892 $0 0 I See footnote (3)
Stock Option (Right to Buy) $3.03            (5)5/19/2027 Common Stock, par value $.01 21081  21081 D  
Stock Option (Right to Buy) $4.53            (5)5/19/2027 Common Stock, par value $.01 6416  6416 D  
Stock Option (Right to Buy) $6.03            (5)5/19/2027 Common Stock, par value $.01 6416  6416 D  
Stock Option (Right to Buy) $12.00            (5)5/19/2027 Common Stock, par value $.01 3666  3666 D  
Series A Covertible Preferred Stock $17.40            (6) (6)Common Stock, par value $.01 574710  100000 I See footnote (3)

Explanation of Responses:
(1) These restricted stock units convert into common stock on a one-for-one basis.
(2) On September 30, 2020, these 5% Secured Convertible Notes (the "Notes") converted into common stock at a rate of 314.9785 shares of common stock per each $1,000 of principal.
(3) These securities are owned directly by C2W Partners Master Fund Limited. Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W Partners Master Fund Limited. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W Partners Master Fund Limited and states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
(4) The Notes did not have an expiration date.
(5) This option has fully vested as of the date of this report.
(6) The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Engelberg Jeffrey D.
C/O EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER, NY 14650
X



Signatures
/s/ Roger W. Byrd, Attorney-in-fact for Jeffrey D. Engelberg1/12/2021
**Signature of Reporting PersonDate

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