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

Role
Director
Signature
/s/ Roger W. Byrd, Attorney-in-fact for Jeffrey D. Engelberg
Issuer symbol
KODK
Transactions as of
18 May 2021
Transactions value $
$0
Form type
4
Filing time
20 May 2021, 19:15:56 UTC
SEC
View on sec.gov

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 18 May 2021 Direct F2
holding KODK Common Stock, par value $.01 2.53M 18 May 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 18 May 2021 Common Stock, par value $.01 7.16K $0.00 Direct F2
holding KODK Stock Option (Right to Buy) 21.1K 18 May 2021 Common Stock, par value $.01 21.1K $3.03 Direct F3
holding KODK Stock Option (Right to Buy) 6.42K 18 May 2021 Common Stock, par value $.01 6.42K $4.53 Direct F3
holding KODK Stock Option (Right to Buy) 6.42K 18 May 2021 Common Stock, par value $.01 6.42K $6.03 Direct F3
holding KODK Stock Option (Right to Buy) 3.67K 18 May 2021 Common Stock, par value $.01 3.67K $12.00 Direct F3
holding KODK Series B Covertible Preferred Stock 50K 18 May 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.