CONTINENZA JAMES V

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.

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.

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.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 20

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 · 200,000 shares

Expires 2029-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 19

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 200,000 shares

Expires 2026-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 18

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock, par value $.01 · 350,000 shares

Expires 2029-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 17

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 350,000 shares

Expires 2026-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 16

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock, par value $.01 · 350,000 shares

Expires 2029-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 15

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 350,000 shares

Expires 2026-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 14

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,150,000

Underlying: Common Stock, par value $.01 · 1,150,000 shares

Expires 2029-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 13

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 1,150,000 shares

Expires 2026-02-19

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

F5 · 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 February 20, 2019 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 12

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,733

Underlying: Common Stock, par value $.01 · 170,733 shares

Expires 2029-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 11

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 170,733 shares

Expires 2026-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 10

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,780

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2029-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 9

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2026-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 8

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,780

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2029-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 7

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2026-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-23-004263 · form4.xml · derivative · entry 6

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 981,707

Underlying: Common Stock, par value $.01 · 981,707 shares

Expires 2029-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-23-004263 · 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: 0

Underlying: Common Stock, par value $.01 · 981,707 shares

Expires 2026-02-19

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

F4 · 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 July 27, 2020 and is fully vested.

SEC source: 0001062993-22-006128 · 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: 300,000

Underlying: Common stock, par value $.01 · 300,000 shares

Expires not disclosed

F4 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, 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 2/26/2023, 2/26/2024 and 2/26/2025.

F4 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, 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 2/26/2023, 2/26/2024 and 2/26/2025.

F4 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, 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 2/26/2023, 2/26/2024 and 2/26/2025.

SEC source: 0001062993-22-006128 · 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: 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.

F3 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 2/26/2022, 2/26/2023 and 2/26/2024.

F3 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 2/26/2022, 2/26/2023 and 2/26/2024.

F3 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis and, except as otherwise provided in the award notice, vest in substantially equal installments on each of 2/26/2022, 2/26/2023 and 2/26/2024.

SEC source: 0001062993-22-006128 · 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: 862,454

F2 · shares: Shares withheld to cover tax withholding obligations on the vesting of restricted stock units.

SEC source: 0001062993-22-006128 · 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: 888,631

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.

SEC source: 0001062993-22-008511 · form4a.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 864,369

F1 · shares: These shares were withheld to cover tax withholding obligations on the vesting of restricted stock units. Amended to correct the number of shares withheld for taxes previously overreported due to an administrative error.

SEC source: 0000891839-21-000056 · edgar.xml · derivative · entry 3

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

F3 · derivative.exercise_price: 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 2/26/2022, 2/26/2023, and 2/26/2024.

F3 · 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 2/26/2022, 2/26/2023, and 2/26/2024.

F3 · 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 2/26/2022, 2/26/2023, and 2/26/2024.

SEC source: 0000891839-21-000056 · edgar.xml · nonDerivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 788,631

F2 · shares: Shares withheld to cover tax withholding obligations on the vesting of restricted stock units.

SEC source: 0000891839-21-000056 · edgar.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

F1 · shares: Reflects restricted stock units, which immediately vested and converted into common stock on a one-for-one basis. 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.

F1 · price: Reflects restricted stock units, which immediately vested and converted into common stock on a one-for-one basis. 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.

SEC source: 0000891839-20-000218 · edgar.xml · derivative · entry 5

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,733

Underlying: Common Stock, par value $.01 · 170,733 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options 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, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000218 · edgar.xml · derivative · entry 4

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,780

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options 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, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000218 · edgar.xml · derivative · entry 3

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,780

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options 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, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000218 · edgar.xml · derivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 981,707

Underlying: Common Stock, par value $.01 · 981,707 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options 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, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000226 · edgar.xml · derivative · entry 4

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,733

Underlying: Common Stock, par value $.01 · 170,733 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options were previously reported by Mr. Continenza and the Form 4 is being amended to provide greater detail on the terms of the options. Following the issuance of the Company's 5.00% Secured Convertible Notes due 2021 (the "Notes"), the Board of Directors of the Company desired to protect Mr. Continenza from the economic dilution attributable to the issuance of the Notes, which affected the value of the options granted upon his becoming Executive Chairman of the Company (the "Original Grant"). The options described in this Form 4 were out-of-the-money when granted and have the same exercise prices and term as the Original Grant. The terms of this award described in this Form 4, including the exercise prices, were generally designed to put Mr. Continenza in the same economic position he would have been in had the Notes been repaid instead of converted into common stock. The award described in this Form 4 was unable to be made until additional shares were authorized to be issued under the Company's 2013 Omnibus Incentive Plan, as amended (the "Plan"), which additional shares were not approved by shareholders until May 20, 2020. These options were granted under the Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000226 · edgar.xml · derivative · entry 3

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,780

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options were previously reported by Mr. Continenza and the Form 4 is being amended to provide greater detail on the terms of the options. Following the issuance of the Company's 5.00% Secured Convertible Notes due 2021 (the "Notes"), the Board of Directors of the Company desired to protect Mr. Continenza from the economic dilution attributable to the issuance of the Notes, which affected the value of the options granted upon his becoming Executive Chairman of the Company (the "Original Grant"). The options described in this Form 4 were out-of-the-money when granted and have the same exercise prices and term as the Original Grant. The terms of this award described in this Form 4, including the exercise prices, were generally designed to put Mr. Continenza in the same economic position he would have been in had the Notes been repaid instead of converted into common stock. The award described in this Form 4 was unable to be made until additional shares were authorized to be issued under the Company's 2013 Omnibus Incentive Plan, as amended (the "Plan"), which additional shares were not approved by shareholders until May 20, 2020. These options were granted under the Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000226 · edgar.xml · derivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,780

Underlying: Common Stock, par value $.01 · 298,780 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options were previously reported by Mr. Continenza and the Form 4 is being amended to provide greater detail on the terms of the options. Following the issuance of the Company's 5.00% Secured Convertible Notes due 2021 (the "Notes"), the Board of Directors of the Company desired to protect Mr. Continenza from the economic dilution attributable to the issuance of the Notes, which affected the value of the options granted upon his becoming Executive Chairman of the Company (the "Original Grant"). The options described in this Form 4 were out-of-the-money when granted and have the same exercise prices and term as the Original Grant. The terms of this award described in this Form 4, including the exercise prices, were generally designed to put Mr. Continenza in the same economic position he would have been in had the Notes been repaid instead of converted into common stock. The award described in this Form 4 was unable to be made until additional shares were authorized to be issued under the Company's 2013 Omnibus Incentive Plan, as amended (the "Plan"), which additional shares were not approved by shareholders until May 20, 2020. These options were granted under the Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000226 · edgar.xml · derivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 981,707

Underlying: Common Stock, par value $.01 · 981,707 shares

Expires 2026-02-19

F1 · derivative.exercise_date: These options were previously reported by Mr. Continenza and the Form 4 is being amended to provide greater detail on the terms of the options. Following the issuance of the Company's 5.00% Secured Convertible Notes due 2021 (the "Notes"), the Board of Directors of the Company desired to protect Mr. Continenza from the economic dilution attributable to the issuance of the Notes, which affected the value of the options granted upon his becoming Executive Chairman of the Company (the "Original Grant"). The options described in this Form 4 were out-of-the-money when granted and have the same exercise prices and term as the Original Grant. The terms of this award described in this Form 4, including the exercise prices, were generally designed to put Mr. Continenza in the same economic position he would have been in had the Notes been repaid instead of converted into common stock. The award described in this Form 4 was unable to be made until additional shares were authorized to be issued under the Company's 2013 Omnibus Incentive Plan, as amended (the "Plan"), which additional shares were not approved by shareholders until May 20, 2020. These options were granted under the Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, 28.57% of these options vest immediately, with the remaining 71.43% vesting on the conversion of the Company's outstanding 5.00% Secured Convertible Notes due 2021. If the 5.00% Secured Convertible Notes due 2021 are not fully converted, the 71.43% remainder portion of the options will vest on a pro rata basis based on the percentage converted.

SEC source: 0000891839-20-000200 · edgar.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.17 to $2.24, inclusive. Mr. Continenza undertakes to provide to 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.

SEC source: 0000891839-20-000082 · edgar.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603,263

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.80, inclusive. Mr. Continenza undertakes to provide to 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.

SEC source: 0000891839-20-000026 · edgar.xml · derivative · entry 7

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,589

Underlying: Common Stock, par value $.01 · 88,029 shares

Expires not disclosed

F3 · 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. Continenza 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.

F3 · 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. Continenza 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.

F3 · 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. Continenza 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.

SEC source: 0000891839-20-000026 · edgar.xml · derivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $.01 · 88,029 shares

Expires 2020-01-08

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis. Upon vesting on 1/8/2020, Mr. Continenza deferred the receipt of 88,029 shares of common stock and received instead 88,029 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. Continenza is reporting the disposition of 88,029 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 1/8/2020, Mr. Continenza deferred the receipt of 88,029 shares of common stock and received instead 88,029 shares of phantom stock pursuant to the terms of the Eastman Kodak Company Deferred Compensation Plan for Directors (the "Plan"). As a result, Mr. Continenza is reporting the disposition of 88,029 shares of common stock in exchange for an equal number of shares of phantom stock under the Plan.

SEC source: 0000891839-19-000214 · edgar.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 553,263

F1 · price: Price derived from purchase price for shares recently acquired by seller.

SEC source: 0001567619-19-023434 · doc1.xml · derivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 157,997 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: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock or cash equal to the fair market value thereof.

F2 · derivative.exercise_date: The vesting of this restricted stock unit scheduled to vest in equal installments on August 17, 2020 and August 17, 2021 was accelerated as a result of the sale of the Issuer's wireless operations in Brazil, effective December 18, 2019.

F2 · derivative.expiration_date: The vesting of this restricted stock unit scheduled to vest in equal installments on August 17, 2020 and August 17, 2021 was accelerated as a result of the sale of the Issuer's wireless operations in Brazil, effective December 18, 2019.

SEC source: 0001567619-19-023434 · doc1.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,603

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: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock or cash equal to the fair market value thereof.

SEC source: 0000891839-19-000202 · edgar.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,263

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.41 to $2.47, inclusive. Mr. Continenza undertakes to provide to 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.

SEC source: 0001567619-19-017336 · doc1.xml · derivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,997

Underlying: Common Stock · 78,999 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: Each restricted stock unit converted into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on August 17, 2019.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on August 17, 2019.

SEC source: 0001567619-19-017336 · doc1.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,606

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: Each restricted stock unit converted into common stock on a one-for-one basis.

SEC source: 0000891839-19-000147 · edgar.xml · nonDerivative · entry 3

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.08, inclusive. Mr. Continenza undertakes to provide to 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 sold at each separate price within the range set forth in this footnote.

SEC source: 0000891839-19-000147 · edgar.xml · nonDerivative · entry 2

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.01, inclusive. Mr. Continenza undertakes to provide to 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 sold at each separate price within the range set forth in this footnote.

SEC source: 0000891839-19-000147 · edgar.xml · nonDerivative · entry 1

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.09 to $2.14, inclusive. Mr. Continenza undertakes to provide to 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 sold at each separate price within the range set forth in this footnote.

SEC source: 0000891839-19-000034 · edgar.xml · derivative · entry 5

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock, par value $.01 · 200,000 shares

Expires 2026-02-19

F2 · derivative.exercise_date: This option was granted pursuant to Mr. Continenza's employment agreement, effective as of February 20, 2019, under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice or the employment agreement, this option vests immediately with respect to one-half of the grant, with the remainder vesting in four equal installments on each of May 20, 2019, August 20, 2019, November 20, 2019 and February 20, 2020.

SEC source: 0000891839-19-000034 · edgar.xml · derivative · entry 4

CONTINENZA JAMES V · CIK 0001197594 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock, par value $.01 · 350,000 shares

Expires 2026-02-19

F2 · derivative.exercise_date: This option was granted pursuant to Mr. Continenza's employment agreement, effective as of February 20, 2019, under the Company's 2013 Omnibus Incentive Plan, as amended, in a transaction exempt under Rule 16b-3. Except as otherwise provided in the award notice or the employment agreement, this option vests immediately with respect to one-half of the grant, with the remainder vesting in four equal installments on each of May 20, 2019, August 20, 2019, November 20, 2019 and February 20, 2020.