Sec Form 4 Filing - Samuels Eric @ EASTMAN KODAK CO - 2017-04-17

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
Samuels Eric
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)
CAO and Corp. Controller
(Last) (First) (Middle)
EASTMAN KODAK COMPANY, 343 STATE STREET
3. Date of Earliest Transaction (MM/DD/YY)
04/17/2017
(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 04/17/2017 S( 1 ) 540 D $ 9.65 5,065 D
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 2,104 2,104 D
Restricted Stock Units $ 0 ( 3 ) ( 3 ) 09/03/2018 Common Stock, par value $.01 7,269 7,269 D
Restricted Stock Units $ 0 ( 4 ) ( 4 ) 09/03/2019 Common Stock, par value $.01 9,628 9,628 D
Restricted Stock Units $ 0 ( 5 ) ( 5 ) 03/21/2020 Common Stock, par value $.01 4,505 4,505 D
Stock Option (Right to Buy) $ 23.78 ( 6 ) 09/02/2021 Common Stock, par value $.01 19,012 19,012 D
Stock Option (Right to Buy) $ 13.76 ( 7 ) 09/02/2022 Common Stock, par value $.01 26,087 26,087 D
Stock Option (Right to Buy) $ 15.58 ( 8 ) 09/02/2023 Common Stock, par value $.01 25,467 25,467 D
Stock Option (Right to Buy) $ 11.1 ( 9 ) 03/20/2024 Common Stock, par value $.01 11,161 11,161 D
125% Warrants to purchase Common Stock, par value $.01 $ 14.93 09/03/2013 09/03/2018 Common Stock, par value $.01 8 ( 10 ) 8 D
135% Warrants to purchase Common Stock, par value $.01 $ 16.12 09/03/2013 09/03/2018 Common Stock, par value $.01 8 ( 10 ) 8 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Samuels Eric
EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER, NY14650
CAO and Corp. Controller
Signatures
/s/ Karen M. Kelly, Attorney-in-fact for Eric H. Samuels 04/18/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Samuels on 11/22/2016.
( 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 9/3/2014 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 9/3/2015 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 9/3/2016 grant date.
( 5 )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 3/21/2017 grant date.
( 6 )This option vests one-third on each of the first three anniversaries of the 9/3/2014 grant date.
( 7 )This option vests one-third on each of the first three anniversaries of the 9/3/2015 grant date.
( 8 )This option vests one-third on each of the first three anniversaries of the 9/3/2016 grant date.
( 9 )This option vests one-third on each of the first three anniversaries of the 3/21/2017 grant date.
( 10 )Each of these Warrants entitles the holder to purchase one share of common stock; however, for each Warra nt 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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