Last 12 months
Inside the activity.
2 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 1 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 28, 2023 Filed Dec 4, 2023 21:38 UTC |
Katz Philippe DDirector · 10% owner
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 25,297 | Not disclosed Strike: $3.03 | Not disclosed |
DisclosureSEC source: 0001062993-23-021833 · form4.xml · derivative · entry 9 Katz Philippe D · CIK 0001579836 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 25,297 shares Expires 2030-05-19 F8 · kind: The reported transaction involved the reversal, to avoid adverse tax consequences, of a previously reported amendment of an outstanding option to extend the expiration date thereof by three years. The reported transaction reinstates the original expiration date, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F8 · price: The reported transaction involved the reversal, to avoid adverse tax consequences, of a previously reported amendment of an outstanding option to extend the expiration date thereof by three years. The reported transaction reinstates the original expiration date, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F8 · derivative.exercise_date: The reported transaction involved the reversal, to avoid adverse tax consequences, of a previously reported amendment of an outstanding option to extend the expiration date thereof by three years. The reported transaction reinstates the original expiration date, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. Read SEC document |
| November 16, 2023 Filed Nov 20, 2023 21:33 UTC |
Katz Philippe DDirector · 10% owner
|
PurchaseCommon Stock, par value $.01 | 6,000 | $3.70 | $22,200.00 |
DisclosureSEC source: 0001062993-23-021208 · form4.xml · nonDerivative · entry 1 Katz Philippe D · CIK 0001579836 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 161,496 Read SEC document |
| October 01, 2023 Filed Oct 3, 2023 19:41 UTC |
GO EK Ventures IV, LLC10% owner
GOLISANO B THOMAS10% owner
|
Other5.00% Cumulative Series C Convertible Preferred Stock · Derivative | 14,055 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001847273-23-000004 · primary_doc.xml · derivative · entry 1 GO EK Ventures IV, LLC · CIK 0001847273 · 10% owner GOLISANO B THOMAS · CIK 0000903201 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,138,443 Underlying: Common Stock · 140,550 shares Expires not disclosed F1 · derivative.exercise_price: The initial conversion price is subject to certain customary anti-dilution adjustments and to proportional increase in the event the liquidation preference of the Series C Convertible Preferred Stock is increased. F2 · kind: The reporting person received 14,055 shares of 5.00% Cumulative Series C Convertible Preferred Stock as a payment-in-kind dividend on aggregate shares of Series C Preferred Stock owned at the close of business on the record date of October 1, 2023, and payable on October 15, 2023. F3 · derivative.expiration_date: The 5.00% Cumulative Series C Convertible Preferred Stock is convertible into Common Stock at any time on a ten-for-one basis and has no expiration date. F4 · ownership.direct: Owned directly by GO EK Ventures IV, LLC and indirectly by its sole member, B. Thomas Golisano. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 20:56 UTC |
Bovenzi DavidDirector
|
GrantRestricted Stock Units · Derivative | 14,778 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-017122 · form4.xml · derivative · entry 2 Bovenzi David · CIK 0001991206 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,778 Underlying: Common Stock, par value $.01 · 14,778 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F1 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F1 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 15:29 UTC |
GOLISANO B THOMASFormer Director
|
Exercise / conversionRestricted Stock Units · Derivative | 17,092 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001988726-23-000002 · primary_doc.xml · derivative · entry 2 GOLISANO B THOMAS · CIK 0000903201 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 17,092 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The Board of Directors (the "Board") approved, immediately upon the Reporting Person's resignation from the Board accelerated vesting of 6,273 Restricted Stock Units that were otherwise scheduled to vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. The remaining 17,092 unvested Restricted Stock Units were forfeited. F2 · derivative.expiration_date: The Board of Directors (the "Board") approved, immediately upon the Reporting Person's resignation from the Board accelerated vesting of 6,273 Restricted Stock Units that were otherwise scheduled to vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. The remaining 17,092 unvested Restricted Stock Units were forfeited. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 15:29 UTC |
GOLISANO B THOMASFormer Director
|
Exercise / conversionCommon Stock, par value $.01 | 6,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001988726-23-000002 · primary_doc.xml · nonDerivative · entry 1 GOLISANO B THOMAS · CIK 0000903201 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,348 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The Board of Directors (the "Board") approved, immediately upon the Reporting Person's resignation from the Board, accelerated vesting of 6,273 Restricted Stock Units that were otherwise scheduled to vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. These Restricted Stock Units converted into common stock on a one-for-one basis. Read SEC document |
| July 21, 2023 Filed Jul 25, 2023 22:38 UTC |
KENNEDY LEWIS MANAGEMENT LPDirector
Kennedy Lewis GP LLCDirector
Kennedy Lewis GP II LLCDirector
|
Disposition to issuerConvertible Promissory Note · Derivative | 2,247,565 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-017527 · doc4.xml · derivative · entry 2 KENNEDY LEWIS MANAGEMENT LP · CIK 0001797633 · Director KENNEDY LEWIS CAPITAL PARTNERS MASTER FUND LP · CIK 0001797635 · Director Kennedy Lewis GP LLC · CIK 0001854812 · Director Kennedy Lewis Investment Holdings LLC · CIK 0001854651 · Director Kennedy Lewis Capital Partners Master Fund II LP · CIK 0001855023 · Director Kennedy Lewis GP II LLC · CIK 0001855024 · Director Kennedy Lewis Investment Holdings II LLC · CIK 0001854977 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · kind: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · kind: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · kind: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · shares: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · price: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.exercise_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.expiration_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.expiration_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · derivative.underlying_shares: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · derivative.underlying_shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.underlying_shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F4 · ownership.nature: Kennedy Lewis Management LP (the "Adviser") acts as investment adviser to the Funds. KLM GP LLC ("KLM") is the general partner of the Adviser. Kennedy Lewis is the owner and control person of KLM. David Chene and Darren Richman are the managing members and control persons of Kennedy Lewis. Each of the Adviser, KLM and Kennedy Lewis may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by each of the Funds due to their relationship with the Funds. Kennedy Lewis GP LLC ("Fund I GP") is the general partner of Master Fund I. Kennedy Lewis Investment Holdings LLC ("Holdings I") is the managing member of Fund I GP. David Chene and Darren Richman are the managing members of Holdings I. F5 · ownership.nature: (Continued from Footnote 4) Each of Fund I GP and Holdings I may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by Master Fund I due to their relationship with Master Fund I. Kennedy Lewis GP II LLC ("Fund II GP") is the general partner of Master Fund II. Kennedy Lewis Investment Holdings II LLC ("Holdings II") is the managing member of Fund II GP. David Chene and Darren Richman are the managing members of Holdings II. Each of Fund II GP and Holdings II may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by Master Fund II due to their relationship with Master Fund II. F6 · ownership.nature: (Continued from Footnote 5) David Chene and Darren Richman, in their capacities as managing members of Kennedy Lewis, and managing members of each of Holdings I and Holdings II, may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by each of the Funds due to their relationships with the Funds. F7 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, each of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene and Darren Richman disclaims beneficial ownership of the securities of the Issuer held directly by the Funds except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that any of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene or Darren Richman is or was the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| July 21, 2023 Filed Jul 25, 2023 22:38 UTC |
KENNEDY LEWIS MANAGEMENT LPDirector
Kennedy Lewis GP LLCDirector
Kennedy Lewis GP II LLCDirector
|
Disposition to issuerConvertible Promissory Note · Derivative | 552,092 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-017527 · doc4.xml · derivative · entry 1 KENNEDY LEWIS MANAGEMENT LP · CIK 0001797633 · Director KENNEDY LEWIS CAPITAL PARTNERS MASTER FUND LP · CIK 0001797635 · Director Kennedy Lewis GP LLC · CIK 0001854812 · Director Kennedy Lewis Investment Holdings LLC · CIK 0001854651 · Director Kennedy Lewis Capital Partners Master Fund II LP · CIK 0001855023 · Director Kennedy Lewis GP II LLC · CIK 0001855024 · Director Kennedy Lewis Investment Holdings II LLC · CIK 0001854977 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · kind: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · kind: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · kind: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · shares: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · price: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.exercise_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.expiration_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.expiration_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · derivative.underlying_shares: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · derivative.underlying_shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.underlying_shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F4 · ownership.nature: Kennedy Lewis Management LP (the "Adviser") acts as investment adviser to the Funds. KLM GP LLC ("KLM") is the general partner of the Adviser. Kennedy Lewis is the owner and control person of KLM. David Chene and Darren Richman are the managing members and control persons of Kennedy Lewis. Each of the Adviser, KLM and Kennedy Lewis may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by each of the Funds due to their relationship with the Funds. Kennedy Lewis GP LLC ("Fund I GP") is the general partner of Master Fund I. Kennedy Lewis Investment Holdings LLC ("Holdings I") is the managing member of Fund I GP. David Chene and Darren Richman are the managing members of Holdings I. F5 · ownership.nature: (Continued from Footnote 4) Each of Fund I GP and Holdings I may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by Master Fund I due to their relationship with Master Fund I. Kennedy Lewis GP II LLC ("Fund II GP") is the general partner of Master Fund II. Kennedy Lewis Investment Holdings II LLC ("Holdings II") is the managing member of Fund II GP. David Chene and Darren Richman are the managing members of Holdings II. Each of Fund II GP and Holdings II may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by Master Fund II due to their relationship with Master Fund II. F6 · ownership.nature: (Continued from Footnote 5) David Chene and Darren Richman, in their capacities as managing members of Kennedy Lewis, and managing members of each of Holdings I and Holdings II, may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by each of the Funds due to their relationships with the Funds. F7 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, each of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene and Darren Richman disclaims beneficial ownership of the securities of the Issuer held directly by the Funds except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that any of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene or Darren Richman is or was the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| July 21, 2023 Filed Jul 25, 2023 22:34 UTC |
KLM GP LLCDirector
Richman DarrenDirector
CHENE DAVIDDirector
|
Disposition to issuerConvertible Promissory Note · Derivative | 2,247,565 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-017524 · doc4.xml · derivative · entry 2 KENNEDY LEWIS INVESTMENT MANAGEMENT LLC · CIK 0001797634 · Director KLM GP LLC · CIK 0001797767 · Director Richman Darren · CIK 0001594474 · Director CHENE DAVID · CIK 0001797237 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · kind: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · kind: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · kind: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · shares: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · price: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.exercise_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.expiration_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.expiration_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.underlying_shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.underlying_shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F4 · ownership.nature: Kennedy Lewis Management LP (the "Adviser") acts as investment adviser to the Funds. KLM GP LLC ("KLM") is the general partner of the Adviser. Kennedy Lewis is the owner and control person of KLM. David Chene and Darren Richman are the managing members and control persons of Kennedy Lewis. Each of the Adviser, KLM and Kennedy Lewis may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by each of the Funds due to their relationship with the Funds. Kennedy Lewis GP LLC ("Fund I GP") is the general partner of Master Fund I. Kennedy Lewis Investment Holdings LLC ("Holdings I") is the managing member of Fund I GP. David Chene and Darren Richman are the managing members of Holdings I. F5 · ownership.nature: (Continued from Footnote 4) Each of Fund I GP and Holdings I may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by Master Fund I due to their relationship with Master Fund I. Kennedy Lewis GP II LLC ("Fund II GP") is the general partner of Master Fund II. Kennedy Lewis Investment Holdings II LLC ("Holdings II") is the managing member of Fund II GP. David Chene and Darren Richman are the managing members of Holdings II. Each of Fund II GP and Holdings II may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by Master Fund II due to their relationship with Master Fund II. F6 · ownership.nature: (Continued from Footnote 5) David Chene and Darren Richman, in their capacities as managing members of Kennedy Lewis, and managing members of each of Holdings I and Holdings II, may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by each of the Funds due to their relationships with the Funds. F7 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, each of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene and Darren Richman disclaims beneficial ownership of the securities of the Issuer held directly by the Funds except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that any of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene or Darren Richman is or was the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| July 21, 2023 Filed Jul 25, 2023 22:34 UTC |
KLM GP LLCDirector
Richman DarrenDirector
CHENE DAVIDDirector
|
Disposition to issuerConvertible Promissory Note · Derivative | 552,092 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-017524 · doc4.xml · derivative · entry 1 KENNEDY LEWIS INVESTMENT MANAGEMENT LLC · CIK 0001797634 · Director KLM GP LLC · CIK 0001797767 · Director Richman Darren · CIK 0001594474 · Director CHENE DAVID · CIK 0001797237 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · kind: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · kind: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · kind: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · shares: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F1 · price: In connection with an amendment to the credit agreement (the "Term Loan Credit Agreement") among certain funds affiliated with Kennedy Lewis Investment Management LLC ("Kennedy Lewis"), as lenders, the other lenders party thereto, and Alter Domus (US) LLC, as administrative agent, and Eastman Kodak Company (the "Issuer") and certain of its subsidiaries, in order to amend and restate the Term Loan Credit Agreement, on July 21, 2023, the Convertible Promissory Notes, dated February 26, 2021, of the Issuer (the "Convertible Notes") held by each of Kennedy Lewis Capital Partners Master Fund LP ("Master Fund I") and Kennedy Lewis Capital Partners Master Fund II LP ("Master Fund II", and together with Master Fund I, the "Funds") were repaid in full, plus accrued paid-in-kind or unpaid cash interest, by the Issuer (the "Convertible Notes Repurchase"). F2 · price: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · price: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.exercise_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.exercise_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.expiration_date: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.expiration_date: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F2 · derivative.underlying_shares: The Convertible Note held by Master Fund I had a purchase price of $4,930,000 and the Convertible Note held by Master Fund II had a purchase price of $20,070,000. Each of the Convertible Notes held by the Funds bore interest at a rate of 5.0% per annum, which was payable in cash on the maturity date or any prepayment date and in additional shares of Common Stock of the Issuer on any conversion date. The maturity date of the Convertible Notes held by the Funds was May 28, 2026. F3 · derivative.underlying_shares: (Continued from Footnote 2) Each of the Funds had the right to elect at any time to convert the Convertible Note held by it into shares of Common Stock of the Issuer at a conversion rate equal to 100 shares of Common Stock per each $1,000 outstanding amount (including principal and accrued interest) of the Convertible Note (based on a conversion price equal to $10.00 per share of Common Stock) and the Convertible Note converted into shares of Common Stock of the Issuer at the election of the Issuer upon the occurrence of certain events as set forth in the Convertible Note. The conversion rate and conversion price were subject to certain customary anti-dilution adjustments. F4 · ownership.nature: Kennedy Lewis Management LP (the "Adviser") acts as investment adviser to the Funds. KLM GP LLC ("KLM") is the general partner of the Adviser. Kennedy Lewis is the owner and control person of KLM. David Chene and Darren Richman are the managing members and control persons of Kennedy Lewis. Each of the Adviser, KLM and Kennedy Lewis may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by each of the Funds due to their relationship with the Funds. Kennedy Lewis GP LLC ("Fund I GP") is the general partner of Master Fund I. Kennedy Lewis Investment Holdings LLC ("Holdings I") is the managing member of Fund I GP. David Chene and Darren Richman are the managing members of Holdings I. F5 · ownership.nature: (Continued from Footnote 4) Each of Fund I GP and Holdings I may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities of the Issuer held by Master Fund I due to their relationship with Master Fund I. Kennedy Lewis GP II LLC ("Fund II GP") is the general partner of Master Fund II. Kennedy Lewis Investment Holdings II LLC ("Holdings II") is the managing member of Fund II GP. David Chene and Darren Richman are the managing members of Holdings II. Each of Fund II GP and Holdings II may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by Master Fund II due to their relationship with Master Fund II. F6 · ownership.nature: (Continued from Footnote 5) David Chene and Darren Richman, in their capacities as managing members of Kennedy Lewis, and managing members of each of Holdings I and Holdings II, may be deemed to exercise voting and investment power over and thus may be deemed to beneficially own the securities held by each of the Funds due to their relationships with the Funds. F7 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, each of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene and Darren Richman disclaims beneficial ownership of the securities of the Issuer held directly by the Funds except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that any of the Adviser, KLM, Kennedy Lewis, Fund I GP, Holdings I, Fund II GP, Holdings II, David Chene or Darren Richman is or was the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| July 01, 2023 Filed Jul 5, 2023 14:54 UTC |
GO EK Ventures IV, LLC10% owner
GOLISANO B THOMASDirector
|
Other5.00% Cumulative Series C Convertible Preferred Stock · Derivative | 13,881 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001847273-23-000003 · primary_doc.xml · derivative · entry 1 GO EK Ventures IV, LLC · CIK 0001847273 · 10% owner GOLISANO B THOMAS · CIK 0000903201 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,124,388 Underlying: Common Stock · 138,810 shares Expires not disclosed F1 · derivative.exercise_price: The initial conversion price is subject to customary anti-dilution adjustments and to proportional increase in the event the liquidation preference of the Series C Convertible Preferred Stock is increased. F2 · kind: The reporting person received 13,881 shares of 5.00% Cumulative Series C Convertible Preferred Stock as a payment-in-kind dividend on aggregate shares of Series C Preferred Stock owned at the close of business on the record date of July 1, 2023, and payable on July 15, 2023. F3 · derivative.expiration_date: The 5.00% Cumulative Series C Convertible Preferred Stock is convertible into Common Stock at any time on a ten-for-one basis and has no expiration date. Read SEC document |
| May 22, 2023 Filed May 23, 2023 20:37 UTC |
Katz Philippe DDirector · 10% owner
|
PurchaseCommon Stock, par value $.01 | 3,000 | $4.59 | $13,770.00 |
DisclosureSEC source: 0001062993-23-011994 · form4.xml · nonDerivative · entry 1 Katz Philippe D · CIK 0001579836 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 155,496 Read SEC document |
| May 19, 2023 Filed May 23, 2023 20:38 UTC |
SILECK MICHAELDirector
|
PurchaseCommon Stock, par value $.01 | 15,000 | $4.39 | $65,850.00 |
DisclosureSEC source: 0001062993-23-011995 · form4.xml · nonDerivative · entry 1 SILECK MICHAEL · CIK 0001234524 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,575 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.36 to $4.41, inclusive. Mr. Sileck undertakes to provide Eastman Kodak Company, any security holder of Eastman Kodak Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| May 17, 2023 Filed May 18, 2023 21:51 UTC |
SILECK MICHAELDirector
|
GrantRestricted Stock Units · Derivative | 23,365 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011700 · form4.xml · derivative · entry 3 SILECK MICHAEL · CIK 0001234524 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,365 Underlying: Common Stock, par value $.01 · 23,365 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: These restricted stock units were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F2 · derivative.expiration_date: These restricted stock units were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. Read SEC document |
| May 17, 2023 Filed May 18, 2023 21:50 UTC |
Katz Philippe DDirector · 10% owner
|
GrantRestricted Stock Units · Derivative | 23,365 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011699 · form4.xml · derivative · entry 9 Katz Philippe D · CIK 0001579836 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,365 Underlying: Common Stock, par value $.01 · 23,365 shares Expires not disclosed F8 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F8 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F8 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. Read SEC document |
| May 17, 2023 Filed May 18, 2023 21:49 UTC |
New Jason GriffinDirector
|
GrantRestricted Stock Units · Derivative | 23,365 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011698 · form4.xml · derivative · entry 4 New Jason Griffin · CIK 0001443769 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,365 Underlying: Common Stock, par value $.01 · 23,365 shares Expires not disclosed F3 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F3 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F3 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. Read SEC document |
| May 17, 2023 Filed May 18, 2023 21:48 UTC |
Lynch Kathleen B.Director
|
GrantRestricted Stock Units · Derivative | 23,365 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011697 · form4.xml · derivative · entry 4 Lynch Kathleen B. · CIK 0001863429 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,365 Underlying: Common Stock, par value $.01 · 23,365 shares Expires not disclosed F3 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F3 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. F3 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the day immediately preceding the Company's 2024 annual meeting of shareholders. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:06 UTC |
Taber Terry RVice President
|
GrantPerformance Stock Units · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011856 · form4.xml · derivative · entry 3 Taber Terry R · CIK 0001452475 · Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $.01 · 50,000 shares Expires not disclosed F2 · derivative.exercise_price: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. F2 · derivative.exercise_date: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. F2 · derivative.expiration_date: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:06 UTC |
Taber Terry RVice President
|
GrantRestricted Stock Units · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011856 · form4.xml · derivative · entry 2 Taber Terry R · CIK 0001452475 · Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $.01 · 50,000 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. F1 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. F1 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:05 UTC |
Bullwinkle David ECFO and Senior Vice President
|
GrantPerformance Stock Units · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011854 · form4.xml · derivative · entry 3 Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $.01 · 50,000 shares Expires not disclosed F2 · derivative.exercise_price: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. F2 · derivative.exercise_date: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. F2 · derivative.expiration_date: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:05 UTC |
Bullwinkle David ECFO and Senior Vice President
|
GrantRestricted Stock Units · Derivative | 50,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011854 · form4.xml · derivative · entry 2 Bullwinkle David E · CIK 0001678634 · CFO and Senior Vice President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $.01 · 50,000 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. F1 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. F1 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:06 UTC |
Michaels Richard TCAO and Corp. Controller
|
GrantRestricted Stock Units · Derivative | 30,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011855 · form4.xml · derivative · entry 2 Michaels Richard T · CIK 0001860289 · CAO and Corp. Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock, par value $.01 · 30,000 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: These restricted stock units were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. F2 · derivative.expiration_date: These restricted stock units were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:04 UTC |
Byrd Roger W.General Counsel, Sec., SVP
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $4.28 | $0.00 |
DisclosureSEC source: 0001062993-23-011853 · form4.xml · derivative · entry 5 Byrd Roger W. · CIK 0001764007 · General Counsel, Sec., SVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock, par value $.01 · 25,000 shares Expires 2030-05-17 F4 · derivative.exercise_date: This option was granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:04 UTC |
Byrd Roger W.General Counsel, Sec., SVP
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $4.28 | $0.00 |
DisclosureSEC source: 0001062993-23-011853 · form4.xml · derivative · entry 4 Byrd Roger W. · CIK 0001764007 · General Counsel, Sec., SVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock, par value $.01 · 25,000 shares Expires 2030-05-17 F3 · derivative.exercise_date: This option was granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vests in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:04 UTC |
Byrd Roger W.General Counsel, Sec., SVP
|
GrantPerformance Stock Units · Derivative | 25,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011853 · form4.xml · derivative · entry 3 Byrd Roger W. · CIK 0001764007 · General Counsel, Sec., SVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock, par value $.01 · 25,000 shares Expires not disclosed F2 · derivative.exercise_price: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. F2 · derivative.exercise_date: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. F2 · derivative.expiration_date: These performance stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, will vest on 5/17/2026 if the volume-weighted average price per share of common stock within the 20 trading day period before the vesting date exceeds a specified price. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:04 UTC |
Byrd Roger W.General Counsel, Sec., SVP
|
GrantRestricted Stock Units · Derivative | 25,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011853 · form4.xml · derivative · entry 2 Byrd Roger W. · CIK 0001764007 · General Counsel, Sec., SVP 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock, par value $.01 · 25,000 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. F1 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. F1 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 5/17/2024, 5/17/2025 and 5/17/2026. Read SEC document |
| May 17, 2023 Filed May 19, 2023 14:04 UTC |
GOLISANO B THOMASDirector
|
GrantRestricted Stock Units · Derivative | 23,365 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001974829-23-000002 · primary_doc.xml · derivative · entry 2 GOLISANO B THOMAS · CIK 0000903201 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,365 Underlying: Common Stock, par value $.01 · 23,365 shares Expires not disclosed F2 · derivative.exercise_date: These Restricted Stock Units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the date immediately preceding the Company's 2024 annual meeting of shareholders. F2 · derivative.expiration_date: These Restricted Stock Units, which convert into common stock on a one-for-one basis, were granted under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the date immediately preceding the Company's 2024 annual meeting of shareholders. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:51 UTC |
SILECK MICHAELDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 22,075 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011700 · form4.xml · derivative · entry 2 SILECK MICHAEL · CIK 0001234524 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 22,075 shares Expires 2023-05-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:51 UTC |
SILECK MICHAELDirector
|
Exercise / conversionCommon Stock, par value $.01 | 22,075 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011700 · form4.xml · nonDerivative · entry 1 SILECK MICHAEL · CIK 0001234524 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,575 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:50 UTC |
Katz Philippe DDirector · 10% owner
|
GrantPhantom Stock · Derivative | 22,075 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011699 · form4.xml · derivative · entry 8 Katz Philippe D · CIK 0001579836 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 82,585 Underlying: Common Stock, par value $.01 · 22,075 shares Expires not disclosed F7 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Katz in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. F7 · derivative.exercise_date: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Katz in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. F7 · derivative.expiration_date: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. Katz in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:50 UTC |
Katz Philippe DDirector · 10% owner
|
Disposition to issuerRestricted Stock Units · Derivative | 22,075 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011699 · form4.xml · derivative · entry 7 Katz Philippe D · CIK 0001579836 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 22,075 shares Expires 2023-05-16 F6 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 5/16/2023, Mr. Katz deferred the receipt of 22,075 shares of common stock and received instead 22,075 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. Katz is reporting the disposition of 22,075 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan. F6 · shares: These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 5/16/2023, Mr. Katz deferred the receipt of 22,075 shares of common stock and received instead 22,075 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. Katz is reporting the disposition of 22,075 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:49 UTC |
New Jason GriffinDirector
|
GrantPhantom Stock · Derivative | 22,075 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011698 · form4.xml · derivative · entry 3 New Jason Griffin · CIK 0001443769 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,075 Underlying: Common Stock, par value $.01 · 22,075 shares Expires not disclosed F2 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. New in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. F2 · derivative.exercise_date: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. New in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. F2 · derivative.expiration_date: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Mr. New in the year following the year of his separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:49 UTC |
New Jason GriffinDirector
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Disposition to issuerRestricted Stock Units · Derivative | 22,075 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011698 · form4.xml · derivative · entry 2 New Jason Griffin · CIK 0001443769 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 22,075 shares Expires 2023-05-16 F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 5/16/2023, Mr. New deferred the receipt of 22,075 shares of common stock and received instead 22,075 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. New is reporting the disposition of 22,075 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan. F1 · shares: These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 5/16/2023, Mr. New deferred the receipt of 22,075 shares of common stock and received instead 22,075 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. New is reporting the disposition of 22,075 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:48 UTC |
Lynch Kathleen B.Director
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GrantPhantom Stock · Derivative | 22,075 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011697 · form4.xml · derivative · entry 3 Lynch Kathleen B. · CIK 0001863429 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,075 Underlying: Common Stock, par value $.01 · 22,075 shares Expires not disclosed F2 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Ms. Lynch in the year following the year of her separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. F2 · derivative.exercise_date: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Ms. Lynch in the year following the year of her separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. F2 · derivative.expiration_date: Each share of phantom stock represents a right to receive one share of common stock and becomes payable at the election of Ms. Lynch in the year following the year of her separation from service as a director in either a single lump sum payment or in a maximum of ten annual installments. Read SEC document |
| May 16, 2023 Filed May 18, 2023 21:48 UTC |
Lynch Kathleen B.Director
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Disposition to issuerRestricted Stock Units · Derivative | 22,075 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011697 · form4.xml · derivative · entry 2 Lynch Kathleen B. · CIK 0001863429 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 22,075 shares Expires 2023-05-16 F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 5/16/2023, Ms. Lynch deferred the receipt of 22,075 shares of common stock and received instead 22,075 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Ms. Lynch is reporting the disposition of 22,075 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan. F1 · shares: These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 5/16/2023, Ms. Lynch deferred the receipt of 22,075 shares of common stock and received instead 22,075 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Ms. Lynch is reporting the disposition of 22,075 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan. Read SEC document |
| May 16, 2023 Filed May 19, 2023 14:04 UTC |
GOLISANO B THOMASDirector
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Exercise / conversionCommon Stock, par value $.01 | 22,075 | $0.00 | $0.00 |
DisclosureSEC source: 0001974829-23-000002 · primary_doc.xml · nonDerivative · entry 1 GOLISANO B THOMAS · CIK 0000903201 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,075 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Restricted Stock Units that fully vested on May 16, 2023, converted into common stock on a one-for-one basis. Read SEC document |
| April 27, 2023 Filed May 1, 2023 20:34 UTC |
Michaels Richard TCAO and Corp. Controller
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Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-009809 · form4.xml · derivative · entry 3 Michaels Richard T · CIK 0001860289 · CAO and Corp. Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock, par value $.01 · 5,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: 5,000 restricted stock units vested on 4/27/2023 and, except as otherwise provided in the award notice, the remaining restricted stock units will vest on 4/27/2024. F3 · derivative.expiration_date: 5,000 restricted stock units vested on 4/27/2023 and, except as otherwise provided in the award notice, the remaining restricted stock units will vest on 4/27/2024. Read SEC document |
| April 27, 2023 Filed May 1, 2023 20:34 UTC |
Michaels Richard TCAO and Corp. Controller
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Tax withholdingCommon Stock, par value $.01 | 2,068 | $3.30 | $6,824.40 |
DisclosureSEC source: 0001062993-23-009809 · form4.xml · nonDerivative · entry 2 Michaels Richard T · CIK 0001860289 · CAO and Corp. Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,423 F2 · shares: Shares withheld to cover tax withholding obligations on the vesting of restricted stock units. Read SEC document |
| April 27, 2023 Filed May 1, 2023 20:34 UTC |
Michaels Richard TCAO and Corp. Controller
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Exercise / conversionCommon Stock, par value $.01 | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-009809 · form4.xml · nonDerivative · entry 1 Michaels Richard T · CIK 0001860289 · CAO and Corp. Controller 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,491 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| April 01, 2023 Filed Apr 4, 2023 18:33 UTC |
GO EK Ventures IV, LLC10% owner
GOLISANO B THOMASDirector
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Other5.00% Cumulative Series C Convertible Preferred Stock · Derivative | 13,710 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001847273-23-000002 · primary_doc.xml · derivative · entry 1 GO EK Ventures IV, LLC · CIK 0001847273 · 10% owner GOLISANO B THOMAS · CIK 0000903201 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,110,507 Underlying: Common Stock · 137,100 shares Expires not disclosed F1 · derivative.exercise_price: The initial conversion price is subject to certain customary anti-dilution adjustments and to proportional increase in the event the liquidation preference of the Series C Convertible Preferred Stock is increased. F2 · kind: The reporting person received 13,710 shares of 5.00% Cumulative Series C Convertible Preferred Stock as a payment-in-kind dividend on aggregate shares of Series C Preferred Stock owned at the close of business on the record date of April 1, 2023, and payable on April 15, 2023. F3 · derivative.expiration_date: The 5.00% Cumulative Series C Convertible Preferred Stock is convertible into Common Stock at any time on a ten-for-one basis and has no expiration date. Read SEC document |
| March 23, 2023 Filed Mar 23, 2023 20:35 UTC |
Katz Philippe DDirector · 10% owner
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PurchaseCommon Stock, par value $.01 | 10,000 | $3.85 | $38,500.00 |
DisclosureSEC source: 0001062993-23-007551 · form4.xml · nonDerivative · entry 1 Katz Philippe D · CIK 0001579836 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 152,496 Read SEC document |
| February 26, 2023 Filed Feb 28, 2023 21:37 UTC |
CONTINENZA JAMES VDirector · Executive Chairman and CEO
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GrantRestricted Stock Units · Derivative | 300,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005113 · form4.xml · derivative · entry 5 CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common stock, par value $.01 · 300,000 shares Expires not disclosed F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. F4 · derivative.exercise_date: These restricted stock units were granted under the Company's Amended and Restated 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 2/26/2024, 2/26/2025 and 2/26/2026. F4 · derivative.expiration_date: These restricted stock units were granted under the Company's Amended and Restated 2013 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 2/26/2024, 2/26/2025 and 2/26/2026. Read SEC document |
| February 26, 2023 Filed Feb 28, 2023 21:37 UTC |
CONTINENZA JAMES VDirector · Executive Chairman and CEO
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Exercise / conversionRestricted Stock Units · Derivative | 100,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005113 · form4.xml · derivative · entry 4 CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common stock, par value $.01 · 100,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: 100,000 restricted stock units vested on 2/26/2023 and, except as otherwise provided in the award notice, the remaining restricted stock units will vest in substantially equal installments on each of 2/26/2024 and 2/26/2025. F3 · derivative.expiration_date: 100,000 restricted stock units vested on 2/26/2023 and, except as otherwise provided in the award notice, the remaining restricted stock units will vest in substantially equal installments on each of 2/26/2024 and 2/26/2025. Read SEC document |
| February 26, 2023 Filed Feb 28, 2023 21:37 UTC |
CONTINENZA JAMES VDirector · Executive Chairman and CEO
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Exercise / conversionRestricted Stock Units · Derivative | 100,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005113 · form4.xml · derivative · entry 3 CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock, par value $.01 · 100,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: 100,000 restricted stock units vested on 2/26/2023 and, except as otherwise provided in the award notice, the remaining restricted stock units will vest on 2/26/2024. F2 · derivative.expiration_date: 100,000 restricted stock units vested on 2/26/2023 and, except as otherwise provided in the award notice, the remaining restricted stock units will vest on 2/26/2024. Read SEC document |
| February 26, 2023 Filed Feb 28, 2023 21:37 UTC |
CONTINENZA JAMES VDirector · Executive Chairman and CEO
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Exercise / conversionCommon Stock, par value $.01 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005113 · form4.xml · nonDerivative · entry 2 CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,064,369 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| February 26, 2023 Filed Feb 28, 2023 21:37 UTC |
CONTINENZA JAMES VDirector · Executive Chairman and CEO
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Exercise / conversionCommon Stock, par value $.01 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005113 · form4.xml · nonDerivative · entry 1 CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 964,369 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| February 16, 2023 Filed Feb 21, 2023 21:45 UTC |
New Jason GriffinDirector
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GrantStock Option (Right to Buy) · Derivative | 3,666 | Not disclosed Strike: $12.00 | Not disclosed |
DisclosureSEC source: 0001062993-23-004264 · form4.xml · derivative · entry 10 New Jason Griffin · CIK 0001443769 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,666 Underlying: Common Stock, par value $.01 · 3,666 shares Expires 2030-05-19 F2 · kind: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · price: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · derivative.exercise_date: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. Read SEC document |
| February 16, 2023 Filed Feb 21, 2023 21:45 UTC |
New Jason GriffinDirector
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Disposition to issuerStock Option (Right to Buy) · Derivative | 3,666 | Not disclosed Strike: $12.00 | Not disclosed |
DisclosureSEC source: 0001062993-23-004264 · form4.xml · derivative · entry 9 New Jason Griffin · CIK 0001443769 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 3,666 shares Expires 2027-05-19 F2 · kind: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · price: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · derivative.exercise_date: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. Read SEC document |
| February 16, 2023 Filed Feb 21, 2023 21:45 UTC |
New Jason GriffinDirector
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GrantStock Option (Right to Buy) · Derivative | 6,416 | Not disclosed Strike: $6.03 | Not disclosed |
DisclosureSEC source: 0001062993-23-004264 · form4.xml · derivative · entry 8 New Jason Griffin · CIK 0001443769 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,416 Underlying: Common Stock, par value $.01 · 6,416 shares Expires 2030-05-19 F2 · kind: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · price: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · derivative.exercise_date: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. Read SEC document |
| February 16, 2023 Filed Feb 21, 2023 21:45 UTC |
New Jason GriffinDirector
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Disposition to issuerStock Option (Right to Buy) · Derivative | 6,416 | Not disclosed Strike: $6.03 | Not disclosed |
DisclosureSEC source: 0001062993-23-004264 · form4.xml · derivative · entry 7 New Jason Griffin · CIK 0001443769 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $.01 · 6,416 shares Expires 2027-05-19 F2 · kind: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · price: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. F2 · derivative.exercise_date: The reported transaction involved an amendment of an outstanding option to extend the expiration date thereof by three years, resulting in the deemed cancellation of the "old" option for Section 16 purposes and the grant of a replacement option for Section 16 purposes. The option was originally granted on May 20, 2020 and is fully vested. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.