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KODK

EASTMAN KODAK CO

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5053
SEC CIK
0000031235
Parsed reports
416

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
MonthPurchasesSales
Nov 202511
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202610
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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.

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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
Disclosure

SEC 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

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October 01, 2023 Filed Oct 3, 2023 19:41 UTC Other5.00% Cumulative Series C Convertible Preferred Stock · Derivative 14,055 $0.00 Strike: $10.00 $0.00
Disclosure

SEC 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.

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August 23, 2023 Filed Aug 25, 2023 20:56 UTC GrantRestricted Stock Units · Derivative 14,778 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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.

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July 21, 2023 Filed Jul 25, 2023 22:38 UTC Disposition to issuerConvertible Promissory Note · Derivative 2,247,565 Not disclosed Not disclosed
Disclosure

SEC 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.

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July 21, 2023 Filed Jul 25, 2023 22:38 UTC Disposition to issuerConvertible Promissory Note · Derivative 552,092 Not disclosed Not disclosed
Disclosure

SEC 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
CHENE DAVIDDirector
Disposition to issuerConvertible Promissory Note · Derivative 2,247,565 Not disclosed Not disclosed
Disclosure

SEC 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
CHENE DAVIDDirector
Disposition to issuerConvertible Promissory Note · Derivative 552,092 Not disclosed Not disclosed
Disclosure

SEC 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 Other5.00% Cumulative Series C Convertible Preferred Stock · Derivative 13,881 $0.00 Strike: $10.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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 PurchaseCommon Stock, par value $.01 15,000 $4.39 $65,850.00
Disclosure

SEC 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.

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May 17, 2023 Filed May 18, 2023 21:51 UTC GrantRestricted Stock Units · Derivative 23,365 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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May 17, 2023 Filed May 18, 2023 21:49 UTC GrantRestricted Stock Units · Derivative 23,365 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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 GrantRestricted Stock Units · Derivative 23,365 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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 GrantRestricted Stock Units · Derivative 23,365 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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 Exercise / conversionRestricted Stock Units · Derivative 22,075 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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 Exercise / conversionCommon Stock, par value $.01 22,075 $0.00 $0.00
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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 GrantPhantom Stock · Derivative 22,075 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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May 16, 2023 Filed May 18, 2023 21:49 UTC Disposition to issuerRestricted Stock Units · Derivative 22,075 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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May 16, 2023 Filed May 18, 2023 21:48 UTC GrantPhantom Stock · Derivative 22,075 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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May 16, 2023 Filed May 18, 2023 21:48 UTC Disposition to issuerRestricted Stock Units · Derivative 22,075 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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May 16, 2023 Filed May 19, 2023 14:04 UTC Exercise / conversionCommon Stock, par value $.01 22,075 $0.00 $0.00
Disclosure

SEC 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.

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April 27, 2023 Filed May 1, 2023 20:34 UTC
Michaels Richard TCAO and Corp. Controller
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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April 27, 2023 Filed May 1, 2023 20:34 UTC
Michaels Richard TCAO and Corp. Controller
Tax withholdingCommon Stock, par value $.01 2,068 $3.30 $6,824.40
Disclosure

SEC 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.

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April 27, 2023 Filed May 1, 2023 20:34 UTC
Michaels Richard TCAO and Corp. Controller
Exercise / conversionCommon Stock, par value $.01 5,000 $0.00 $0.00
Disclosure

SEC 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 Other5.00% Cumulative Series C Convertible Preferred Stock · Derivative 13,710 $0.00 Strike: $10.00 $0.00
Disclosure

SEC 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.

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March 23, 2023 Filed Mar 23, 2023 20:35 UTC
Katz Philippe DDirector · 10% owner
PurchaseCommon Stock, par value $.01 10,000 $3.85 $38,500.00
Disclosure

SEC 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
GrantRestricted Stock Units · Derivative 300,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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.

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February 26, 2023 Filed Feb 28, 2023 21:37 UTC
CONTINENZA JAMES VDirector · Executive Chairman and CEO
Exercise / conversionRestricted Stock Units · Derivative 100,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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
Exercise / conversionRestricted Stock Units · Derivative 100,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC 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
Exercise / conversionCommon Stock, par value $.01 100,000 $0.00 $0.00
Disclosure

SEC 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
Exercise / conversionCommon Stock, par value $.01 100,000 $0.00 $0.00
Disclosure

SEC 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 GrantStock Option (Right to Buy) · Derivative 3,666 Not disclosed Strike: $12.00 Not disclosed
Disclosure

SEC 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.

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February 16, 2023 Filed Feb 21, 2023 21:45 UTC Disposition to issuerStock Option (Right to Buy) · Derivative 3,666 Not disclosed Strike: $12.00 Not disclosed
Disclosure

SEC 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 GrantStock Option (Right to Buy) · Derivative 6,416 Not disclosed Strike: $6.03 Not disclosed
Disclosure

SEC 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 Disposition to issuerStock Option (Right to Buy) · Derivative 6,416 Not disclosed Strike: $6.03 Not disclosed
Disclosure

SEC 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.