1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
125% Warrants
(1)
(2)
(3)
(4)
(5)
|
09/03/2013 |
09/03/2018 |
Common Stock
|
5,234
|
$
14.93
|
D
|
Â
|
135% Warrants
(1)
(2)
(3)
(4)
(5)
|
09/03/2013 |
09/03/2018 |
Common Stock
|
5,234
|
$
16.12
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) |
BlueMountain Capital Management, LLC ("BMCM") is the investment manager of BlueMountain Guadalupe Peak Fund L.P. ("Guadalupe"). BMCM is also the investment manager of a number of other investment entities (together with Guadalupe, the "BlueMountain Funds") which own shares of Common Stock, par value $0.01 per share (the "Common Stock") of Eastman Kodak Company (the "Issuer"), warrants to purchase shares of Common Stock at an exercise price of $14.93 (the "125% Warrants") and warrants to purchase shares of Common Stock at an exercise price of $16.12 (the "135% Warrants") and which have previously made filings with respect to their ownership of such Common Stock, 125% Warrants and 135% Warrants pursuant to Section 16(a) of the Securities Exchange Act of 1934, as amended. |
(2) |
BMCM, although it directs the voting and disposition of the shares of Common Stock held by the BlueMountain Funds, only receives an asset-based fee relating to such shares. |
(3) |
On February 3, 2014, Guadalupe acquired 187,592 shares of Common Stock, 5,234 125% Warrants and 5,234 135% Warrants (together, the "Distributed Shares and Warrants") when BlueMountain Long/Short Credit Master Fund L.P. ("Long/Short Credit") distributed such Distributed Shares and Warrants to one of its beneficial owners (the "Investor") and the Investor simultaneously contributed the Distributed Shares and Warrants to Guadalupe. The Distributed Shares and Warrants represented the Investor's pro rata share of the Common Stock, 125% Warrants and 135% Warrants held by Long/Short Credit. |
(4) |
Guadalupe holds certain Class 4 General Unsecured Claims and certain Class 6 Retiree Settlement Unsecured Claims (together, "Allowed Unsecured Claims") with respect to the Issuer, and Guadalupe will in future be issued Common Stock and/or warrants to purchase shares of Common Stock in respect of such claims. Guadalupe acquired these claims on February 3, 2014, when in connection with the distribution of the Distributed Shares and Warrants, Long/Short Credit also distributed $7,198,380 in Allowed Unsecured Claims (the "Distributed Claims") to the Investor (representing the Investor's pro rata share of such Allowed Unsecured Claims) and the Investor simultaneously contributed the Distributed Claims to Guadalupe. |
(5) |
BlueMountain Long/Short Credit GP, LLC, which is the general partner of each of Guadalupe and Long/Short Credit, has an indirect profits interest in the Common Stock, 125% Warrants and 135% Warrants beneficially owned by each of Long/Short Credit and Guadalupe, which indirect profits interest was not altered as a result of this transaction. |