0001062993-23-021834.txt : 20231204 0001062993-23-021834.hdr.sgml : 20231204 20231204163930 ACCESSION NUMBER: 0001062993-23-021834 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231128 FILED AS OF DATE: 20231204 DATE AS OF CHANGE: 20231204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Byrd Roger W. CENTRAL INDEX KEY: 0001764007 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00087 FILM NUMBER: 231463766 MAIL ADDRESS: STREET 1: C/O EASTMAN KODAK COMPANY STREET 2: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 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 X0508 4 2023-11-28 0000031235 EASTMAN KODAK CO KODK 0001764007 Byrd Roger W. C/O EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER NY 14650 0 1 0 0 General Counsel, Sec., SVP 0 Common Stock, par value $.01 39292 D Restricted Stock Units 0 Common Stock, par value $.01 25000 25000 D Performance Stock Units 0 Common Stock, par value $.01 25000 25000 D Stock Option (Right to Buy) 4.28 2030-05-17 Common Stock, par value $.01 25000 25000 D Stock Option (Right to Buy) 4.28 2030-05-17 Common Stock, par value $.01 25000 25000 D Stock Option (Right to Buy) 3.03 2023-11-28 4 D 0 15000 D 2029-02-19 Common Stock, par value $.01 15000 0 D Stock Option (Right to Buy) 3.03 2023-11-28 4 A 0 15000 A 2026-02-19 Common Stock, par value $.01 15000 15000 D Stock Option (Right to Buy) 4.53 2029-02-19 Common Stock, par value $.01 10000 10000 D Stock Option (Right to Buy) 6.03 2029-02-19 Common Stock, par value $.01 10000 10000 D Stock Option (Right to Buy) 12.0 2029-02-19 Common Stock, par value $.01 10000 10000 D Stock Option (Right to Buy) 3.09 2023-11-28 4 D 0 89744 D 2029-01-15 Common Stock, par value $.01 89744 0 D Stock Option (Right to Buy) 3.09 2023-11-28 4 A 0 89744 A 2026-01-15 Common Stock, par value $.01 89744 89744 D Stock Option (Right to Buy) 12.5 2027-09-13 Common Stock, par value $.01 30457 30457 D These restricted stock units, which convert into common stock on a one-for-one basis, will vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026, except as otherwise provided in the award notice. These performance stock units, which convert into common stock on a one-for-one basis, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price, except as otherwise provided in the award notice. This option will vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026, except as otherwise provided in the award notice. This option will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price, except as otherwise provided in the award notice. 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 July 27, 2020 and is fully vested. This option is fully vested as of the date of this report. 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 January 16, 2019 and is fully vested. /s/ Roger W. Byrd 2023-12-04