0001062993-23-011698.txt : 20230518 0001062993-23-011698.hdr.sgml : 20230518 20230518174937 ACCESSION NUMBER: 0001062993-23-011698 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230516 FILED AS OF DATE: 20230518 DATE AS OF CHANGE: 20230518 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Jason Griffin CENTRAL INDEX KEY: 0001443769 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 23937353 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EASTMAN KODAK CO CENTRAL INDEX KEY: 0000031235 STANDARD INDUSTRIAL CLASSIFICATION: PHOTOGRAPHIC EQUIPMENT & SUPPLIES [3861] IRS NUMBER: 160417150 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 343 STATE ST CITY: ROCHESTER STATE: NY ZIP: 14650-0910 BUSINESS PHONE: 5857244000 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4 2023-05-16 0000031235 EASTMAN KODAK CO KODK 0001443769 New Jason Griffin C/O EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 1 0 0 0 0 Common Stock, par value $.01 85894 D Restricted Stock Units 0 2023-05-16 4 D 0 22075 0 D 2023-05-16 2023-05-16 Common Stock, par value $.01 22075 0 D Phantom Stock 0 2023-05-16 4 A 0 22075 0 A Common Stock, par value $.01 22075 22075 D Restricted Stock Units 0 2023-05-17 4 A 0 23365 0 A Common Stock, par value $.01 23365 23365 D Stock Option (Right to Buy) 3.03 2030-05-19 Common Stock, par value $.01 21081 21081 D Stock Option (Right to Buy) 4.53 2030-05-19 Common Stock, par value $.01 6416 6416 D Stock Option (Right to Buy) 6.03 2030-05-19 Common Stock, par value $.01 6416 6416 D Stock Option (Right to Buy) 12.0 2030-05-19 Common Stock, par value $.01 3666 3666 D These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 5/16/2023, Mr. New deferred the receipt of 22,075 shares of common stock and received instead 22,075 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. New is reporting the disposition of 22,075 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan. Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. New 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. These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. This option has fully vested as of the date of this report. /s/ Roger W. Byrd, Attorney-in-Fact for Jason Griffin New 2023-05-18