GO EK Ventures IV, LLC - Oct 1, 2021 Form 4 Insider Report for EASTMAN KODAK CO (KODK)

Role
10%+ Owner
Signature
B. Thomas Golisano
Stock symbol
KODK
Transactions as of
Oct 1, 2021
Transactions value $
$0
Form type
4
Date filed
10/12/2021, 04:04 PM
Previous filing
Jul 6, 2021
Next filing
Jan 4, 2022

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 5.00% Cumulative Series C Convertible Preferred Stock Other $0 +12.7K +1.25% $0.00 1.03M Oct 1, 2021 Common Stock 127K $10.00 Direct F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The initial conversion price is subject to certain customary anti-dilution adjustments and to proportional increase in the event of the liquidation preference of the Series C Convertible Preferred Stock is increased.
F2 The reporting person received 12,725 shares of 5.00% Cumulative Series C Convertible Preferred Stock as a payment-in-kind dividend on aggregate shares of Series C Preferred Stock owned at the close of business on the record date of October 1, 2021, and payable on October 15, 2021.
F3 The 5.00% Cumulative Series C Preferred Stock is convertible into Common Stock at any time on a ten-for-one basis and has no expiration date.