Samuels Eric Form 4 EASTMAN KODAK / Eric Samuels ownership change

SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Samuels Eric

(Last) (First) (Middle)

C/O EASTMAN KODAK COMPANY

343 STATE STREET

(Street)

ROCHESTER NY 14650

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
03/21/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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	03/21/2020		M		1,503	A	$0(1)	20,244	D
Common Stock, par value $.01	03/21/2020		F		591(2)	D	$1.59	19,653	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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (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: 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)	03/21/2020		M			1,503	(3)	03/21/2020	Common Stock, par value $.01	1,503	$0	0	D
Restricted Stock Units	$0(4)							(4)	09/03/2021	Common Stock, par value $.01	8,548		8,548	D
Stock Option (Right to Buy)	$23.78							(3)	09/02/2021	Common Stock, par value $.01	19,012		19,012	D
Stock Option (Right to Buy)	$13.76							(3)	09/02/2022	Common Stock, par value $.01	26,087		26,087	D
Stock Option (Right to Buy)	$15.58							(3)	09/02/2023	Common Stock, par value $.01	25,467		25,467	D
Stock Option (Right to Buy)	$11.1							(3)	03/20/2024	Common Stock, par value $.01	11,161		11,161	D
Stock Option (Right to Buy)	$12.5							(5)	09/13/2024	Common Stock, par value $.01	101,523		101,523	D
Stock Option (Right to Buy)	$3.9							(6)	12/03/2025	Common Stock, par value $.01	20,577		20,577	D

Explanation of Responses:

1. These restricted stock units convert into common stock on a one-for-one basis.

2. Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

3. These securities are fully vested as of the date of this report.

4. These restricted stock units, which convert into common stock on a one-for-one basis, vested one-third on 9/3/2019 and vest one-third on each of 9/3/2020 and 9/3/2021.

5. This option vested one-third on each of 9/14/2018 and 9/14/2019 and vests one-third on 9/14/2020.

6. This option vested one-third on 9/3/2019 and vests one-third on each of 9/3/2020 and 9/3/2021.

Remarks:

	/s/ Roger W. Byrd, Attorney-in-fact for Eric H. Samuels	03/24/2020
	** Signature of Reporting Person	Date
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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