Eastman Kodak Form 4 / Brad Kruchten 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^*

Kruchten Brad

(Last)

(First)

(Middle)

EASTMAN KODAK COMPANY

343 STATE STREET

(Street)

ROCHESTER

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)
Senior Vice President

3. Date of Earliest Transaction (Month/Day/Year)
09/03/2017

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, par value $.01	09/03/2017		M		5,888	A	$0⁽¹⁾	16,083	D
Common Stock, par value $.01	09/03/2017		F		2,177⁽²⁾	D	$7.8	13,906	D
Common Stock, par value $.01	09/03/2017		M		10,174	A	$0⁽³⁾	24,080	D
Common Stock, par value $.01	09/03/2017		F		3,762⁽²⁾	D	$7.8	20,318	D
Common Stock, par value $.01	09/03/2017		M		8,985	A	$0⁽⁴⁾	29,303	D
Common Stock, par value $.01	09/03/2017		F		3,322⁽²⁾	D	$7.8	25,981	D
Common Stock, par value $.01								1,628	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 (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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	$0⁽¹⁾	09/03/2017		M			5,888	⁽¹⁾	09/03/2017	Common Stock, par value $.01	5,888	$0	0	D
Restricted Stock Units	$0⁽³⁾	09/03/2017		M			10,174	⁽³⁾	09/03/2018	Common Stock, par value $.01	10,174	$0	10,176	D
Restricted Stock Units	$0⁽⁴⁾	09/03/2017		M			8,985	⁽⁴⁾	09/03/2019	Common Stock, par value $.01	8,985	$0	17,973	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	2,437		2,437	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

Explanation of Responses:

1. 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.

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

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.

Remarks:

	/s/ Sharon E. Underberg, Attorney-in-fact for Brad W. Kruchten	09/06/2017
	** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Eastman Kodak (KODK) Form 4EASTMAN KODAK / Brad Kruchten ownership change