Philippe D. Katz - Nov 28, 2023 Form 4 Insider Report for EASTMAN KODAK CO (KODK)

Role
Director, 10%+ Owner
Signature
/s/ Roger W. Byrd, Attorney-in-Fact for Philippe D. Katz
Stock symbol
KODK
Transactions as of
Nov 28, 2023
Transactions value $
$0
Form type
4
Date filed
12/4/2023, 04:38 PM
Previous filing
Nov 20, 2023
Next filing
Mar 28, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding KODK Common Stock, par value $.01 161K Nov 28, 2023 Direct
holding KODK Common Stock, par value $.01 2.52M Nov 28, 2023 Owned by KF Investors LLC F1
holding KODK Common Stock, par value $.01 1.57M Nov 28, 2023 Owned by Momar Corporation F2
holding KODK Common Stock, par value $.01 7.6K Nov 28, 2023 Owned by United Equities Commodities Company F3
holding KODK Common Stock, par value $.01 87.7K Nov 28, 2023 Owned by Marneu Holding Company F4
holding KODK Common Stock, par value $.01 48.9K Nov 28, 2023 Owned by 111 John Realty Corp. F5

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 Stock Option (Right to Buy) Disposed to Issuer -25.3K -100% 0 Nov 28, 2023 Common Stock, par value $.01 25.3K $3.03 Direct F8
transaction KODK Stock Option (Right to Buy) Award +25.3K 25.3K Nov 28, 2023 Common Stock, par value $.01 25.3K $3.03 Direct F8
holding KODK Phantom Stock 82.6K Nov 28, 2023 Common Stock, par value $.01 82.6K $0.00 Direct F6
holding KODK Restricted Stock Units 23.4K Nov 28, 2023 Common Stock, par value $.01 23.4K $0.00 Direct F7
holding KODK Stock Option (Right to Buy) 7.7K Nov 28, 2023 Common Stock, par value $.01 7.7K $4.53 Direct F9
holding KODK Stock Option (Right to Buy) 7.7K Nov 28, 2023 Common Stock, par value $.01 7.7K $6.03 Direct F9
holding KODK Stock Option (Right to Buy) 4.4K Nov 28, 2023 Common Stock, par value $.01 4.4K $12.00 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.
F5 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.
F6 Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Katz 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.
F7 These restricted stock units, which convert into common stock on a one-for-one basis, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders, except as otherwise provided in the award notice.
F8 The reported transaction involved the reversal, to avoid adverse tax consequences, of a previously reported amendment of an outstanding option to extend the expiration date thereof by three years. The reported transaction reinstates the original expiration date, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested.
F9 This option has fully vested as of the date of this report.