Sec Form 4 Filing - Vandagriff Randy @ EASTMAN KODAK CO - 2019-11-12

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
Vandagriff Randy
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)
Vice President
(Last) (First) (Middle)
C/O EASTMAN KODAK COMPANY, 343 STATE STREET
3. Date of Earliest Transaction (MM/DD/YY)
11/12/2019
(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 11/12/2019 P 4,000 A $ 2.48 12,205 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 ( 1 ) ( 1 ) 09/03/2021 Common Stock, par value $.01 12,821 12,821 D
Stock Option (Right to Buy) $ 20.25 ( 2 ) 12/14/2021 Common Stock, par value $.01 11,597 11,597 D
Stock Option (Right to Buy) $ 12.63 ( 2 ) 12/14/2022 Common Stock, par value $.01 7,921 7,921 D
Stock Option (Right to Buy) $ 12.5 ( 3 ) 09/13/2024 Common Stock, par value $.01 152,285 152,285 D
Stock Option (Right to Buy) $ 3.9 ( 4 ) 12/03/2025 Common Stock, par value $.01 30,865 30,865 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Vandagriff Randy
C/O EASTMAN KODAK COMPANY
343 STATE STREET
ROCHESTER, NY14650
Vice President
Signatures
/s/ Kim Zampatori, Attorney-in-fact for Randy Vandagriff 11/13/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on 9/3/2019 and vests one-third on each of 9/3/2020 and 9/3/2021.
( 2 )These securities are fully vested as of the date of this report.
( 3 )This option vested one-third on each 9/14/2018 and 9/14/2019 and vests one-third on 9/14/2020.
( 4 )This option vested one-third on 9/3/2019 and vests one-third on each of 9/3/2020 and 9/3/2021.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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