# EDGAR Filing Document

**Accession Number:** 0001197594
**File Stem:** 0001062993-23-005113
**Filing Date:** 2023-2
**Character Count:** 8581
**Document Hash:** e7b9922e1d327aef986a814711461699
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-005113.hdr.sgml**: 20230228

**ACCESSION NUMBER**: 0001062993-23-005113

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230226

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230228

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** CONTINENZA JAMES V
- **CENTRAL INDEX KEY:** 0001197594

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-00087
- **FILM NUMBER:** 23686186

**MAIL ADDRESS:**
- **STREET 1:** C/O ARCH WIRELESS INC
- **STREET 2:** 1800 WEST PARK DR #250
- **CITY:** WESTBOROUGH
- **STATE:** MA
- **ZIP:** 01581
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** EASTMAN KODAK CO
- **CENTRAL INDEX KEY:** 0000031235
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHOTOGRAPHIC EQUIPMENT & SUPPLIES [3861]
- **IRS NUMBER:** 160417150
- **STATE OF INCORPORATION:** NJ
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 343 STATE ST
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14650-0910
- **BUSINESS PHONE:** 5857244000

**MAIL ADDRESS:**
- **STREET 1:** 343 STATE STREET
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14650

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>CONTINENZA JAMES V<br><sub>(Last) (First) (Middle)</sub><br>C/O EASTMAN KODAK COMPANY<br>343 STATE STREET<br><sub>(Street)</sub><br>ROCHESTER, NY 14650<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-26 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Executive Chairman and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>EASTMAN KODAK CO [ KODK ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, par value $.01 | 2023-02-26 |  | M |  | 100000 | A | 0<sup>(1)</sup> | 964369 | D |  |
| Common Stock, par value $.01 | 2023-02-26 |  | M |  | 100000 | A | 0<sup>(1)</sup> | 1064369 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | 0<sup>(1)</sup> | 2023-02-26 |  | M |  |  | 100000 | <sup>(2)</sup> | <sup>(2)</sup> | Common Stock, par value $.01 | 100000 | $0 | 100000 | D |  |
| Restricted Stock Units | 0<sup>(1)</sup> | 2023-02-26 |  | M |  |  | 100000 | <sup>(3)</sup> | <sup>(3)</sup> | Common stock, par value $.01 | 100000 | $0 | 200000 | D |  |
| Restricted Stock Units | 0<sup>(1)</sup> | 2023-02-26 |  | A |  | 300000 |  | <sup>(4)</sup> | <sup>(4)</sup> | Common stock, par value $.01 | 300000 | $0 | 300000 | D |  |
| Phantom Stock | 0<sup>(5)</sup> |  |  |  |  |  |  | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock, par value $.01 | 241589 |  | 241589 | D |  |
| Stock Option (Right to Buy) | $3.03 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 981707 |  | 981707 | D |  |
| Stock Option (Right to Buy) | $4.53 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 298780 |  | 298780 | D |  |
| Stock Option (Right to Buy) | $6.03 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 298780 |  | 298780 | D |  |
| Stock Option (Right to Buy) | $12 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 170733 |  | 170733 | D |  |
| Stock Option (Right to Buy) | $3.03 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 1150000 |  | 1150000 | D |  |
| Stock Option (Right to Buy) | $4.53 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 350000 |  | 350000 | D |  |
| Stock Option (Right to Buy) | $6.03 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 350000 |  | 350000 | D |  |
| Stock Option (Right to Buy) | $12.00 |  |  |  |  |  |  | <sup>(6)</sup> | 2029-02-19 | Common Stock, par value $.01 | 200000 |  | 200000 | D |  |

---

### Footnotes:

(1) These restricted stock units convert into common stock on a one-for-one basis.

(2) 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.

(3) 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.

(4) 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.

(5) 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.

(6) This option is fully vested as of the date of this report.

**Signature:** /s/ Roger W. Byrd, Attorney-in-Fact for James V. Continenza  
**Date:** 2023-02-28

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**