Engelberg Jeffrey D. 4

4 · EASTMAN KODAK CO · Filed May 20, 2021

Form 4

Period: 2021-05-18

Director

Transactions

Exercise/Conversion
Restricted Stock Units
2021-05-18−7,159→ 0 total
Exercise: $0.00From: 2021-05-18Exp: 2021-05-18→ Common Stock, par value $.01 (7,159 underlying)
Exercise/Conversion
Common Stock, par value $.01
2021-05-18+7,159→ 213,680 total

Holdings

Common Stock, par value $.01
(indirect: See footnote)
2,534,892
Stock Option (Right to Buy)
Exercise: $3.03Exp: 2027-05-19→ Common Stock, par value $.01 (21,081 underlying)
21,081
Stock Option (Right to Buy)
Exercise: $4.53Exp: 2027-05-19→ Common Stock, par value $.01 (6,416 underlying)
6,416
Stock Option (Right to Buy)
Exercise: $6.03Exp: 2027-05-19→ Common Stock, par value $.01 (6,416 underlying)
6,416
Stock Option (Right to Buy)
Exercise: $12.00Exp: 2027-05-19→ Common Stock, par value $.01 (3,666 underlying)
3,666
Series B Covertible Preferred Stock
(indirect: See footnote)
Exercise: $10.50Exp: 2026-05-28→ Common Stock, par value $.01 (476,190 underlying)
50,000

Footnotes (4)

[F1]These securities are owned directly by C2W Partners Master Fund Limited ("C2W"). Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W and states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
[F2]These restricted stock units convert into common stock on a one-for-one basis.
[F3]This option has fully vested as of the date of this report.
[F4]The convertible preferred stock is convertible at any time, at the holder's election.

Documents

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