Sec Form 4 Filing - Kruchten Brad @ EASTMAN KODAK CO - 2017-01-13

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Kruchten Brad
2. Issuer Name and Ticker or Trading Symbol
EASTMAN KODAK CO [ KODK]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Senior Vice President
(Last) (First) (Middle)
EASTMAN KODAK COMPANY, 343 STATE STREET
3. Date of Earliest Transaction (MM/DD/YY)
01/13/2017
(Street)
ROCHESTER, NY14650
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $.01 01/13/2017 S( 1 ) 600 D $ 14.92 19,795 D
Common Stock, par value $.01 01/13/2017 S( 1 ) 300 D $ 14.86 19,495 D
Common Stock, par value $.01 01/13/2017 S( 1 ) 600 D $ 14.97 18,895 D
Common Stock, par value $.01 01/13/2017 S( 1 ) 1,900 D $ 14.88 16,995 D
Common Stock, par value $.01 90 I By Spouse
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units $ 0 ( 2 ) ( 2 ) 09/03/2017 Common Stock, par value $.01 5,888 5,888 D
Restricted Stock Units $ 0 ( 3 ) ( 3 ) 09/03/2018 Common Stock, par value $.01 20,350 20,350 D
Restricted Stock Units $ 0 ( 4 ) ( 4 ) 09/03/2019 Common Stock, par value $.01 26,958 26,958 D
Restricted Stock Units $ 0 ( 5 ) ( 5 ) 09/03/2020 Common Stock, par value $.01 27,632 27,632 D
Restricted Stock Units $ 0 ( 6 ) ( 6 ) 08/24/2018 Common Stock, par value $.01 4,871 4,871 I By Spouse
Stock Option (Right to Buy) $ 23.78 ( 7 ) 09/02/2021 Common Stock, par value $.01 53,232 53,232 D
Stock Option (Right to Buy) $ 13.76 ( 8 ) 09/02/2022 Common Stock, par value $.01 73,044 73,044 D
Stock Option (Right to Buy) $ 15.58 ( 9 ) 09/02/2023 Common Stock, par value $.01 71,308 71,308 D
Stock Option (Right to Buy) $ 15.2 ( 10 ) 11/14/2023 Common Stock, par value $.01 65,935 65,935 D
125% Warrants to purchase Common Stock, par value $.01 $ 14.93 09/03/2013 09/03/2018 Common Stock, par value $.01 943 ( 11 ) 943 D
135% Warrants to purchase Common Stock, par value $.01 $ 16.12 09/03/2013 09/03/2018 Common Stock, par value $.01 943 ( 11 ) 943 D
125% Warrants to purchase Common Stock, par value $.01 $ 14.93 09/03/2013 09/03/2018 Common Stock, par value $.01 31 ( 11 ) 31 I By Spouse
135% Warrants to purchase Common Stock, par value $.01 $ 16.12 09/03/2013 09/03/2018 Common Stock, par value $.01 31 ( 11 ) 31 I By Spouse
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Kruchten Brad
EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER, NY14650
Senior Vice President
Signatures
/s/ Sharon E. Underberg, Attorney-in-fact for Brad W. Kruchten 01/18/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Kruchten on 11/9/15.
( 2 )These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/14 grant date.
( 3 )These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/15 grant date.
( 4 )These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 9/3/16 grant date.
( 5 )These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on 9/3/18 and one-third on each of the first two anniversaries of such date.
( 6 )These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of the first three anniversaries of the 8/24/15 grant date.
( 7 )This option vests one-third on each of the first three anniversaries of the 9/3/14 grant date.
( 8 )This option vests one-third on each of the first three anniversaries of the 9/3/15 grant date.
( 9 )This option vests one-third on each of the first three anniversaries of the 9/3/16 grant date.
( 10 )This option vests one-third on 9/3/18 and one-third on each of the first two anniversaries of such date.
( 11 )Each of these Warrants entitles the holder to purchase one share of common stock; however, for each Warrant exercised, the holder will receive a net share amount equal to the number of shares issuable upon the exercise multiplied by the closing sale price of the common stock on the exercise date minus the exercise price, divided by the closing sale price, together with cash for any fractional shares.

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