Jeffrey D. Engelberg - May 18, 2021 Form 4 Insider Report for EASTMAN KODAK CO (KODK)

Role
Director
Signature
/s/ Roger W. Byrd, Attorney-in-fact for Jeffrey D. Engelberg
Stock symbol
KODK
Transactions as of
May 18, 2021
Transactions value $
$0
Form type
4
Date filed
5/20/2021, 07:15 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction KODK Common Stock, par value $.01 Options Exercise $0 +7.16K +3.47% $0.00 214K May 18, 2021 Direct F2
holding KODK Common Stock, par value $.01 2.53M May 18, 2021 See footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction KODK Restricted Stock Units Options Exercise $0 -7.16K -100% $0.00* 0 May 18, 2021 Common Stock, par value $.01 7.16K $0.00 Direct F2
holding KODK Stock Option (Right to Buy) 21.1K May 18, 2021 Common Stock, par value $.01 21.1K $3.03 Direct F3
holding KODK Stock Option (Right to Buy) 6.42K May 18, 2021 Common Stock, par value $.01 6.42K $4.53 Direct F3
holding KODK Stock Option (Right to Buy) 6.42K May 18, 2021 Common Stock, par value $.01 6.42K $6.03 Direct F3
holding KODK Stock Option (Right to Buy) 3.67K May 18, 2021 Common Stock, par value $.01 3.67K $12.00 Direct F3
holding KODK Series B Covertible Preferred Stock 50K May 18, 2021 Common Stock, par value $.01 476K $10.50 See footnote F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Jeffrey D. Engelberg is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 These securities are owned directly by C2W Partners Master Fund Limited ("C2W"). Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W 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.
F2 These restricted stock units convert into common stock on a one-for-one basis.
F3 This option has fully vested as of the date of this report.
F4 The convertible preferred stock is convertible at any time, at the holder's election.