0 SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A AMENDMENT TO APPLICATION OR REPORT Filed Pursuant to Section 13 or 15 (d) of The Securities Exchange Act Of 1934 Eastman Kodak Company (Exact name of registrant as specified in its charter) AMENDMENT NO. 1 The undersigned registrant hereby amends the following items, financial statements, exhibits, or other portions of its Annual Report on Form 10-K for the year ended December 31, 2001 as set forth below: The exhibit listed below and attached hereto is hereby added to the registrant's Annual Report on Form 10-K for the year ended December 31, 2001. Exhibit (99) Eastman Kodak Employees' Savings and Investment Plan Annual Report on Form 11-K for the fiscal year ended December 30, 2001. Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this amendment to be signed on its behalf by the undersigned, thereunto duly authorized. Eastman Kodak Company (Registrant) Robert P. Rozek Controller Date: June 24, 2002
1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [FEE REQUIRED] For the fiscal year ended December 30, 2001 ----------------- OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the transition period from to -------- -------- Commission file number 1-87 ---------- A. Full title of the plan and the address of the plan, if different from that of the issuer named below: EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN B. Name of the issuer of the securities held pursuant to the plan and the address of its principal executive office: EASTMAN KODAK COMPANY 343 STATE STREET ROCHESTER, NEW YORK 14650
2 EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN INDEX TO FINANCIAL STATEMENTS, SCHEDULES AND EXHIBIT DECEMBER 30, 2001 (a) Financial Statements Page No. Report of Independent Accountants 3 Statement of Net Assets Available for Benefits 4 Statement of Changes in Net Assets Available for Benefits 5 Notes to Financial Statements 6-26 (b) Schedules I. Schedule of Assets (Held at End of Year) 27-59 II. Allocation of Net Assets Available for Benefits to Investment Funds 60-73 III. Allocation of Changes in Net Assets Available for Benefits to Investment Funds 74-94 (c) Exhibit Consent of Independent Accountants 95
3 REPORT OF INDEPENDENT ACCOUNTANTS To the Savings and Investment Plan Committee and the Participants of the Eastman Kodak Employees' Savings and Investment Plan In our opinion, the financial statements and related schedules listed in the index appearing on page 2 of this Annual Report on Form 11-K present fairly, in all material respects, the net assets available for benefits of the Eastman Kodak Employees' Savings and Investment Plan at December 30, 2001 and 2000, and the changes in net assets available for benefits for each of the three fiscal years in the period ended December 30, 2001, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the Plan's management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. PricewaterhouseCoopers LLP Rochester, New York June 14, 2002
4 EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN STATEMENT OF NET ASSETS AVAILABLE FOR BENEFITS (in thousands) December 30, --------------------- 2001 2000 ---- ---- ASSETS Investments at Fair Value: Eastman Kodak Company common stock $ 143,882 $ 210,625 Other common and preferred stocks 314,384 326,839 Mutual funds 847,917 1,054,230 Interest in common/collective trusts (pooled) funds 502,331 570,358 U.S. government securities 299 246 Loans to participants 65,369 65,404 Investments at Contract Value: Group annuity contracts 3,579,574 3,328,300 Other Assets: Dividends and interest receivable 399 2,898 Participants' contributions receivable 81 389 Receivables for securities sold 679 1,449 ---------- ---------- Total assets (cost: 2001 - $5,737,391 2000 - $5,771,424) 5,454,915 5,560,738 ---------- ---------- LIABILITIES Distributions payable to participants - 4,753 Payables for securities purchased 1,162 1,069 Accrued expenses 455 237 ---------- ---------- Total liabilities 1,617 6,059 ---------- ---------- Net assets available for benefits $5,453,298 $5,554,679 ========== ========== (See accompanying notes to financial statements)
5 EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS (in thousands) For the fiscal year ended December 30, ------------------------------------------- 2001 2000 1999 ---- ---- ---- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 6,220 $ 9,164 $ 9,130 Other dividends 13,796 11,478 12,321 Interest 252,708 250,404 257,413 Net realized and unrealized gains (losses) from investments (260,944) (405,784) 412,542 Employer contributions 13,413 10,503 - Participants' contributions 206,491 205,796 321,042 ---------- ---------- ---------- Total Additions 231,684 81,561 1,012,448 ---------- ---------- ---------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (328,687) (454,466) (426,121) Administrative expenses (4,378) (3,984) (6,336) ---------- ---------- ---------- Total Deductions 333,065 458,450 432,457 ---------- ---------- ---------- (Decrease) increase in net assets (101,381) (376,889) 579,991 Net assets available for benefits at beginning of year 5,554,679 5,931,568 5,351,577 ---------- ---------- ---------- Net assets available for benefits at end of year $5,453,298 $5,554,679 $5,931,568 ========== ========== ========== (See accompanying notes to financial statements)
6 EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN NOTES TO FINANCIAL STATEMENTS NOTE 1: DESCRIPTION OF PLAN General The Eastman Kodak Employees' Savings and Investment Plan (the Plan or SIP) is a defined contribution plan of a controlled group of corporations consisting of Eastman Kodak Company and certain United States subsidiaries operating in the United States (Kodak or the Company). The principal provisions of the Plan are described below and are provided for general information purposes only. Participants should refer to the Plan document for a more complete description of the Plan's provisions. Regular full-time, regular part-time, supplementary or conditional employees of Kodak are eligible to participate in the Plan. Kodak Ambassadors, co-ops and special program employees are not eligible to participate in the Plan. The Plan is subject to the Employee Retirement Income Security Act of 1974. The Plan is administered by the Savings and Investment Plan Committee (SIPCO), which is the Plan Administrator and named fiduciary. The Trust, forming part of the Plan, is administered by Boston Safe Deposit and Trust Company (Boston Safe) (the Plan Trustee). Plan Amendments and Other Changes Effective February 1, 2001, the Acorn International Fund was replaced by the Artisan International Fund. Participants in the Acorn International Fund had the opportunity to elect to transfer their balance to the Artisan International Fund. If no election was made, any account balance remaining as of January 31, 2001 was automatically transferred to the Fixed Income Fund. Transfers, deferrals and rollovers into the Acorn International Fund were not allowed after November 30, 2000. Effective April 1, 2000, the Newport Tiger Fund was replaced by the Matthews Pacific Tiger Fund I. Participants in the Newport Tiger Fund had the opportunity to elect to transfer their balance to the Matthews Fund. If no election was made, any account balance remaining as of March 30, 2000 was automatically transferred to the Fixed Income Fund. Also effective April 1, 2000, participants transfering all or any portion of their account into certain funds, were not able to transfer any portion of their account out of those funds or reallocate among funds until the first business day following the seventh calendar day of such transfer.
7 Effective January 1, 2000, the Company began to match SIP contributions for an amount up to 3% of wages for employees who contributed up to 5% of their wages to SIP and who also participated in the Cash Balance Plus portion of the Kodak Retirement Income Plan. This matching contribution is allocated to one or more of the funds in the same manner as the participant's elective contributions are allocated on the date the match is received. Participants are immediately vested in the SIP Company match but those funds cannot be used for loans or hardship withdrawals. Administrative Expenses The Plan provides for the payment of certain administrative expenses by the Trusts, including fees for investment advisors, the recordkeeper, the Plan Trustee, attorneys and accountants. The recordkeeper was Hewitt Associates through December 2001. Effective January 1, 2002, the recordkeeper is T. Rowe Price Retirement Plan Services, Inc.
8 Contributions The Plan includes a salary reduction provision allowing eligible Kodak participants to defer up to a certain percentage of qualifying compensation as defined in the Plan. The maximum deferral for Plan years 2001, 2000 and 1999 was limited to 20% of the aggregate of qualifying compensation and wage dividend, but not more than the statutory limit of $10,500 for calendar years 2001 and 2000 and $10,000 for calendar year 1999. All contributions to the Plan are immediately vested. Boston Safe invests participant and employer contributions to the Plan into the investment funds described in Note 3, as directed by the participant. Participants are eligible to make transfers between investment funds on a daily basis. Loans The Plan Administrator may grant a loan to a participant provided that the aggregate of the participant's outstanding loans will not exceed the lesser of: 1) $50,000 less the highest outstanding loan balance during the previous 12 months, or 2) 50% of the current value of the participant's account excluding any Company match funds. A new loan must be at least $1,000 and repaid within four years of the date of the loan. In accordance with the Plan provisions, the rate of interest is fixed at the discretion of the Plan Administrator. Interest is charged at the lesser of the maximum legal rate or the prime rate. The loans are secured by the balance in the participant's account and bear interest at rates that range from 5.0% to 11.5%, which are commensurate with local prevailing rates as determined by the Plan administrator. (See Note 4.) Distributions Distributions from the Plan are made under the following circumstances: 1. Approval of hardship withdrawals is made by the Plan Administrator or its designee. Hardship withdrawals will only be granted a) in order to meet obligations relating to the payment of substantial out-of-pocket medical (or dental) bills for the participant, the participant's spouse or any of the participant's dependents, b) for the purchase or construction of a primary residence, c) for tuition, room and board or other post-secondary educational expenses, or d) for payments to prevent eviction/foreclosure. 2. Upon attaining age 59 1/2, a participant may elect to receive a lump sum cash distribution from the Plan while still actively employed. 3. Upon separation from service for any reason except death, the full value of a participant's account is distributed as a lump sum if the account balance is less than a certain amount as defined in the Plan and the participant is not retirement eligible. Otherwise, the full value of the account is distributed when and as designated by the participant in a lump sum payment, or in monthly or annual installments. If an appropriate designation is not made by the participant, the account is paid in a lump sum cash payment in February following the year the participant turns age 65.
9 4. In the event of death, the value of a participant's account is paid in a lump sum to a designated beneficiary, if any, or to the decedent's estate, except that if there is a surviving spouse, then the entire sum will be paid to such spouse unless the spouse consents to the beneficiary designation of the participant. 5. The Plan Trustee is authorized to honor "qualified domestic relations orders" issued and served in accordance with Section 414(p) of the Internal Revenue Code. Participant Accounts Each participant's account is credited with the participant's contribution, the Company's contribution, if applicable, and an allocation of Plan earnings, and charged with an allocation of administrative expenses. Allocations are based on account balances, as defined. The benefit to which a participant is entitled is the benefit that can be provided from the participant's vested account. Plan Termination While Kodak expects to continue the Plan, it has the right to discontinue contributions and amend or terminate the Plan at any time. In the event that contributions to the Plan are discontinued, the Plan Trustee will continue to administer the Trust. In the event of the termination of the Trust as a result of or incident to termination of the Plan, the pro rata value of the participants' accounts will be paid in accordance with the provisions of the Plan. NOTE 2: SUMMARY OF ACCOUNTING POLICIES Basis of Accounting The Plan operates on a fiscal year ending December 30. The Plan's financial statements have been prepared on the accrual basis of accounting. Distributions payable to participants are recorded when the request for payment meeting the provisions of the Plan is received. Investment Valuation and Income Recognition The group annuity contracts are included in the financial statements at contract value because they are fully benefit responsive. In aggregate, the recorded value of the group annuity contracts approximates their fair value. Interest rates on these contracts remain fixed and are not reset until a contract matures. There are no minimum crediting interest rates under the terms of the contracts. Interest in common/collective trusts (pooled) funds reflects market values based upon the net asset value of the underlying funds. Shares of mutual funds are valued at the net asset value of shares held by the Plan at December 30. Fair values of all other investments are based upon active market quotations on national exchanges, if available, at December 30, or, if not available, upon amounts believed by the Plan Administrator to be realizable at that time. Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date.
10 Use of Estimates The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at year end and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. Risks and Uncertainties Investment securities are exposed to various risks, such as interest rate and market. Due to the level of risk associated with certain investments and the level of uncertainty related to changes in the value of investments, it is at least reasonably possible that changes in risk in the near term could have materially affected participants' account balances and the amounts reported in the statement of net assets available for benefits and the statement of changes in net assets available for benefits. Reclassifications Certain account balances at December 30, 2000 have been reclassified to conform to the 2001 presentation. NOTE 3: INVESTMENTS The Plan Trustee is not required to furnish a bond in connection with the custody of investments or other assets of the Plan. The Plan Trustee is authorized to keep any portion of any of the foregoing funds in cash or liquid investments as it may deem advisable. All dividends, interest or gains derived from investments in each Fund are reinvested in the respective Fund by the Plan Trustee. TIER I: TIME HORIZON FUNDS - All Time Horizon Funds are pre-mixed portfolios of TIER II Funds. 5 to 8 Year Time Horizon Fund This fund is designed for participants who expect to withdraw from the Plan and use these funds relatively soon, or for participants who have a low tolerance for volatility. The fund is broadly diversified, and has a 45/55 mix of equity and fixed income. 8 to 20 Year Time Horizon Fund This fund is designed for participants who expect to leave their funds invested for a reasonably long period of time, and/or for participants who are willing to accept some volatility. The fund is broadly diversified, but has a 75/25 mix of equity and fixed income.
11 20 or More Year Time Horizon Fund This fund is designed for participants who expect to leave their funds invested for a long period of time, and/or for participants who are willing to accept more volatility. The fund is broadly diversified in equities. TIER II: CORE FUNDS Fixed Income Fund The fund's assets are invested primarily in contracts with insurance companies. Effective annual yields on these contracts ranged between 3.72% and 10.10% in 2001 and between 5.08% and 10.10% in 2000 and 1999, depending on the date of the contribution, transfer or rollover. The blended rate of return on the Fixed Income Fund was approximately 8.0% in 2001 and 7.6% in 2000 and 1999. Lehman Brothers Aggregate Bond Index Fund This fund is designed to duplicate the total return of the overall U.S. bond market. It is composed of securities found in the Lehman Brothers Government/Corporate Bond Index, Mortgage-Backed Securities Index, and Asset- Backed Securities Index. S&P 500 Large Stock Index Fund This fund invests in all 500 stocks that compose the Standard & Poor's 500 Index. Non-U.S. Stock Index Fund This fund is composed of two indices: one covering securities from non-U.S. developed countries (MSCI EAFE Index), and the other covering securities from non-U.S. developing countries (MSCI Emerging Markets Free Index ex-Malaysia). Russell 2000 Small Stock Index Fund This fund is designed to replicate the returns of the Russell 2000 Index, which represents the small company segment of the U.S. stock market. The index consists of the 2,000 smallest securities of the largest 3,000 U.S. stocks and is recognized as a standard measure of performance for the small company segment of the U.S. stock market. Kodak Stock Fund This fund consists primarily of shares of Eastman Kodak Company common stock. TIER III: MANAGED FUNDS PIMCO Total Return Fund This is an intermediate maturity bond fund with a total return orientation. The average quality rating of bonds in the portfolio is investment grade, including U.S. government, corporate, and mortgage-backed securities. Up to 10% of assets may be in "high yield," below investment grade bonds, and up to 20% may be in foreign bonds of currencies other than the U.S. dollar but generally hedged back to the dollar.
12 MSIF High Yield Fund This is a corporate, credit sensitive bond fund seeking to provide a combination of high current income and long-term total return. Securities with high yields are usually rated below investment grade and are commonly referred to as "junk bonds." Fidelity Puritan Fund This fund is a balanced fund of stocks and bonds managed to produce high current income with preservation of capital and consideration for potential growth of capital. T. Rowe Price Equity Income Fund This is a large company stock fund with a current income orientation. Its goal is to provide substantial dividend income and long-term capital appreciation. Fidelity Growth and Income Fund This is a large company stock fund managed with a value orientation. Its goal is high total return through a combination of current income and capital appreciation. Putnam Investors Fund This is a large company stock fund managed with a blended growth/value orientation. Its goal is long-term growth of capital from a portfolio primarily consisting of quality common stock. Putnam Vista Fund This is a mid-size company stock fund with a growth orientation. The goal is above-average growth. PBHG Growth Fund This is a mid-size company stock fund with an aggressive growth orientation. The fund's goal is capital appreciation. T. Rowe Price Small-Cap Value Fund This is a small company stock fund with a value orientation. The fund seeks long-term capital growth. Skyline Special Equity Fund This is a small company stock fund with a value orientation. Its goal is maximum capital appreciation. Between February 1, 1998 and April 8, 1999, this fund was closed to transfers and rollovers but remained open to salary and wage dividend deferrals.
13 Putnam OTC & Emerging Growth Fund This is a small company fund with an aggressive growth orientation. The fund seeks capital appreciation. MSIF Value Fund This is a multi-sized company stock fund with a value orientation. Its goal is to provide above-average long-term total return consisting of both capital appreciation and income. RogersCasey Smaller Stock Fund This fund is a multi-sized company stock fund, with a smaller sized company orientation, utilizing a multiple manager approach. The fund seeks to provide consistency of total returns over time through use of experienced investment managers with a blend of growth, value, and benchmark-related styles. MFS Institutional Research Fund This is a multi-sized company stock fund with a blended growth/value orientation. Its goal is long-term growth of capital and future income. Putnam Voyager Fund This is a multi-sized company stock fund with an aggressive growth orientation. The fund seeks maximum growth. Cohen & Steers Realty Fund This is a specialty stock fund investing primarily in Real Estate Investment Trusts. The fund seeks maximum total return through both current income and capital appreciation. First Eagle Fund of America This is a specialty stock fund investing primarily in stocks of undervalued companies that are being restructured to increase returns to shareholders. The fund's goal is capital appreciation. T. Rowe Price Blue Chip Growth Fund This is a specialty stock fund investing primarily in stocks of large- and mid-size companies that are "blue chip" - that is, high-quality growth companies. The fund seeks long-term growth of capital; income is secondary. T. Rowe Price New Era Fund This is a specialty stock fund investing primarily in companies that own or develop natural resources and other basic commodities intended to act as a hedge against inflation. The fund seeks long-term capital appreciation.
14 T. Rowe Price Science & Technology Fund This is an aggressive specialty stock fund investing in multi-sized companies expected to benefit from scientific and technological progress. The fund seeks long-term growth of capital. Morgan Stanley Institutional International Equity Fund This is an international stock fund investing primarily in developed countries with a large company, value orientation. The fund seeks long-term capital appreciation. Russell International Stock Fund This fund is an international stock fund using a multiple manager approach, with 90% allocated to managers of stocks in developed markets and 10% allocated to managers of stocks in emerging markets. The fund seeks to provide consistency of total returns over time through use of experienced investment managers with a blend of growth, value, and benchmark-related styles. Artisan International Fund (formerly Acorn International Fund) This is an international stock fund with an all-markets approach, investing in small- to mid-size companies with a value orientation primarily in developed countries but also in emerging markets. The fund seeks long-term growth of capital. State Street Emerging Markets Index Fund This is an indexed emerging markets stock fund, diversified across regions, countries, and securities in the benchmark. The fund seeks maximum capital appreciation. Between October 30, 1999 and March 31, 2000, this fund had been closed to transfers and rollovers. Templeton Developing Markets Fund This is an emerging markets stock fund, diversified across regions and countries, with a value orientation. The fund seeks long-term capital appreciation. Between October 30, 1999 and March 31, 2000, this fund was closed to transfers and rollovers. Matthews Pacific Tiger Fund I (formerly Newport Tiger Fund) This is an emerging markets stock fund with a regional focus on the Pacific Basin excluding Japan. The fund seeks capital appreciation.
15 Scudder Latin America Fund This is an emerging markets stock fund with a regional focus on Latin America. The fund seeks long-term capital appreciation.
16 The number of participants in each fund was as follows: December 30, ------------------ 2001 2000 ---- ---- 5 to 8 Year Time Horizon Fund 1,246 1,300 8 to 20 Year Time Horizon Fund 2,061 2,225 20 or More Year Time Horizon Fund 2,235 2,456 Fixed Income Fund 38,706 38,484 Lehman Brothers Aggregate Bond Index Fund 2,180 1,184 S&P 500 Large Stock Index Fund 12,705 13,726 Non-U.S. Stock Index Fund 871 921 Russell 2000 Small Stock Index Fund 3,071 3,083 Kodak Stock Fund 13,280 14,420 PIMCO Total Return Fund 2,345 1,355 MSIF High Yield Fund 1,083 1,192 Fidelity Puritan Fund 4,597 4,620 T. Rowe Price Equity Income Fund 3,463 2,763 Fidelity Growth and Income Fund 4,615 4,603 Putnam Investors Fund 4,659 5,395 Putnam Vista Fund 4,786 5,477 PBHG Growth Fund 4,889 6,050 T. Rowe Price Small-Cap Value Fund 4,762 2,772 Skyline Special Equity Fund 2,372 2,019 Putnam OTC & Emerging Growth Fund 6,376 7,551 MSIF Value Fund 3,119 2,731 RogersCasey Smaller Stock Fund 10,560 11,111 MFS Institutional Research Fund 1,310 1,520 Putnam Voyager Fund 5,023 5,859 Cohen & Steers Realty Fund 1,618 1,543 First Eagle Fund of America 2,364 1,647 T. Rowe Price Blue Chip Growth Fund 4,453 4,760 T. Rowe Price New Era Fund 1,132 1,069 T. Rowe Price Science & Technology Fund 11,472 13,015 Morgan Stanley Institutional International Equity Fund 3,485 3,584 Russell International Stock Fund 2,726 3,062 Artisan International Fund (Acorn International Fund) 1,076 628 State Street Emerging Markets Index Fund 525 583 Templeton Developing Markets Fund 861 991 Matthews Pacific Tiger Fund I (Newport Tiger Fund) 652 644 Scudder Latin America Fund 739 866 The total number of participants in the Plan was less than the sum of the number of participants shown above because many participants invest in more than one fund.
17 NOTE 4: LOANS TO PARTICIPANTS The Plan Trustee makes loans to participants in accordance with Plan provisions. A loan made to a participant of the Plan is accounted for as a fund-to-fund transfer from the participant's investment account to a fund known as the "Loan Fund." The Plan's receivables for participant loan notes receivable are recorded as assets of the Loan Fund. As the loan is repaid, both the principal and interest are allocated to fund(s) to which the participant's current contributions are directed. The portion of the loan payment representing principal is accounted for as a fund-to-fund transfer from the Loan Fund to the participant's investment fund(s) and the portion of the loan payment representing interest is accounted for as income in the same fund(s). No plan participant benefits from the interest earned on a loan other than the participant who originated the loan.
18 NOTE 4: LOANS TO PARTICIPANTS (Cont'd) Interest income earned on loans to participants for the fiscal years ended December 30 was: (in thousands) 2001 2000 1999 ------ ------ ------ 5 to 8 Year Time Horizon Fund $ 36 $ 42 $ 37 8 to 20 Year Time Horizon Fund 83 96 97 20 or More Year Time Horizon Fund 66 81 64 Fixed Income Fund 2,854 2,424 2,478 Lehman Brothers Aggregate Bond Index Fund 33 8 8 S&P 500 Large Stock Index Fund 313 371 420 Non-U.S. Stock Index Fund 7 7 5 Russell 2000 Small Stock Index Fund 41 44 32 Kodak Stock Fund 232 266 360 PIMCO Total Return Fund 35 8 8 MSIF High Yield Fund 11 9 11 Fidelity Puritan Fund 75 72 108 T. Rowe Price Equity Income Fund 43 24 26 Fidelity Growth and Income Fund 62 65 75 Putnam Investors Fund 75 93 99 Putnam Vista Fund 59 64 24 PBHG Growth Fund 95 130 16 T. Rowe Price Small-Cap Value Fund 54 21 22 Skyline Special Equity Fund 34 19 30 Putnam OTC & Emerging Growth Fund 122 184 31 MSIF Value Fund 44 16 17 RogersCasey Smaller Stock Fund 300 310 436 MFS Institutional Research Fund 13 16 12 Putnam Voyager Fund 69 85 41 Cohen & Steers Realty Fund 26 13 4 First Eagle Fund of America 23 13 25 T. Rowe Price Blue Chip Growth Fund 49 59 58 T. Rowe Price New Era Fund 20 13 4 T. Rowe Price Science & Technology Fund 254 335 155 Morgan Stanley Institutional International Equity Fund 28 26 31 Russell International Stock Fund 23 30 30 Artisan International Fund (Acorn International Fund) 3 45 9 State Street Emerging Markets Index Fund 4 7 3 Templeton Developing Markets Fund 6 9 8 Matthews Pacific Tiger Fund I (Newport Tiger Fund) 7 4 13 Scudder Latin America Fund 7 9 9 ------ ------ ------ Total $5,206 $5,018 $4,806 ====== ====== ====== The interest income from loans shown above is included in "interest" on the Statement of Changes in Net Assets.
19 NOTE 5: NET REALIZED AND UNREALIZED GAINS (LOSSES) FROM INVESTMENTS Components of net realized and unrealized gains (losses) from investments and proceeds from sales of investments for the fiscal years ended on December 30 are: (in thousands) Unrealized Net Realized Realized gains and Unrealized Proceeds gains (losses) (losses) gains (losses) from from from from sales of investments investments investments investments ------------- ----------- -------------- ----------- 2001 Kodak stock $ 2,371 $ (38,022) $ (35,651) $ 47,852 Other securities (56,649) (168,644) (225,293) 1,127,876 --------- --------- --------- ---------- $ (54,278) $(206,666) $(260,944) $1,175,728 ========= ========= ========= ========== 2000 Kodak stock $ (13,395) $(110,131) $(123,526) $ 133,929 Other securities (169,938) (112,320) (282,258) 1,806,074 --------- --------- --------- ---------- $(183,333) $(222,451) $(405,784) $1,940,003 ========= ========= ========= ========== 1999 Kodak stock $ 5,976 $ (29,640) $ (23,664) $ 203,097 Other securities 31,362 404,844 436,206 1,582,088 --------- --------- --------- ---------- $ 37,338 $ 375,204 $ 412,542 $1,785,185 ========= ========= ========= ========== Consistent with Department of Labor regulations, the components of net realized and unrealized gains and losses from investments are calculated for purposes of Form 5500 based on an investment's current value at the beginning of the year, or acquisition cost if acquired during the year (revalued cost). For purposes of determining realized gains and losses, the revalued costs of investments sold are determined based upon a weighted average basis.
20 NOTE 6: UNIT VALUES AND PARTICIPANT UNITS (in thousands, except per unit value data) Following are the funds' month-end unit values and participants' units as calculated by the Trustee. 5 to 8 Year 8 to 20 Year 20 or More Year Lehman Brothers S&P 500 Large Time Time Time Fixed Aggregate Stock Horizon Fund Horizon Fund Horizon Fund Income Fund Bond Index Fund Index Fund ---------------- --------------- --------------- ----------------- --------------- ---------------- Unit Unit Unit Unit Unit Unit Value Units Value Units Value Units Value Units Value Units Value Units 2001 ---- Jan. 31 $14.9394 2,568 $15.2177 3,734 $15.2108 2,831 $20.7250 160,885 $13.2988 909 $32.5933 10,533 Feb. 28 14.4468 2,528 14.3369 3,694 14.0128 2,778 20.8394 161,014 13.4223 1,094 29.6184 10,449 Mar. 30 14.0639 2,414 13.6382 3,590 13.0626 2,752 20.9663 163,291 13.4912 1,570 27.7419 10,217 Apr. 30 14.5524 2,403 14.4085 3,533 14.0305 2,714 21.0890 162,442 13.4361 1,403 29.9033 10,267 May 31 14.6234 2,367 14.4350 3,534 14.0556 2,733 21.2172 162,449 13.5173 1,318 30.1060 10,216 June 29 14.5451 2,321 14.2469 3,525 13.8029 2,716 21.3415 162,217 13.5623 1,184 29.3706 10,176 July 31 14.5290 2,233 14.0481 3,470 13.4433 2,649 21.4689 162,239 13.8741 1,308 29.0820 10,071 Aug. 31 14.2834 2,173 13.6298 3,426 12.8958 2,619 21.5971 162,149 14.0317 1,466 27.2588 10,031 Sep. 28 13.7185 2,126 12.5981 3,255 11.5127 2,601 21.7218 163,806 14.1842 1,746 25.0520 9,784 Oct. 31 13.9497 2,093 12.8472 3,161 11.7782 2,600 21.8486 162,992 14.4893 1,991 25.5276 9,744 Nov. 30 14.3483 2,102 13.4803 3,129 12.5935 2,530 21.9728 161,477 14.2369 1,814 27.4845 9,688 Dec. 28 14.5089 2,080 13.7306 3,099 12.9387 2,532 22.2435 161,713 14.0775 1,649 28.0341 9,683 2000 ---- Jan. 31 $14.3133 2,771 $15.3190 4,356 $15.9946 2,886 $19.2704 172,810 $11.7486 407 $32.9024 12,054 Feb. 29 14.4400 2,753 15.5611 4,225 16.3445 2,889 19.3821 169,953 11.8736 363 32.2633 11,547 Mar. 31 14.9055 2,754 16.1660 4,260 17.0441 3,112 19.5014 168,645 12.0087 371 35.4207 11,201 Apr. 28 14.6559 3,139 15.6631 4,242 16.3067 3,207 19.6226 167,869 11.9480 589 34.3662 11,319 May 31 14.5122 2,994 15.3692 4,209 15.8701 3,208 19.7442 167,204 11.9267 470 33.6561 11,183 June 30 14.8357 3,231 15.8326 4,204 16.4488 3,234 19.8622 165,999 12.1725 413 34.4839 11,028 July 31 14.7238 2,946 15.5093 4,196 15.9411 3,198 19.9853 165,598 12.2741 491 33.9386 10,940 Aug. 31 15.1623 3,167 16.1081 4,146 16.6975 3,146 20.1084 166,764 12.4572 557 36.0438 10,808 Sep. 29 14.8280 3,072 15.4323 4,045 15.6993 3,054 20.2283 165,669 12.5457 751 34.1459 10,714 Oct. 31 14.7932 2,831 15.2531 3,954 15.3888 2,915 20.3524 163,458 12.6371 633 34.0044 10,690 Nov. 30 14.3902 2,702 14.4757 3,948 14.2625 2,881 20.4731 161,737 12.8486 759 31.3312 10,707 Dec. 29 14.6074 2,651 14.7694 3,895 14.6059 2,841 20.5992 161,073 13.0880 786 31.4849 10,673
21 UNIT VALUES AND PARTICIPANT UNITS (Cont'd) (in thousands, except per unit value data) Non-U.S. Russell 2000 Stock Small Stock Kodak PIMCO Total MSIF High Fidelity Index Fund Index Fund Stock Fund Return Fund Yield Fund Puritan Fund --------------- ---------------- ---------------- --------------- ---------------- ---------------- Unit Unit Unit Unit Unit Unit Value Units Value Units Value Units Value Units Value Units Value Units 2001 ---- Jan. 31 $12.9406 521 $14.5039 2,361 $16.0925 14,239 $13.7355 1,612 $12.3070 1,512 $21.8196 3,380 Feb. 28 11.9479 520 13.5603 2,362 16.7431 13,868 13.8672 1,922 12.3404 1,313 21.4870 3,417 Mar. 30 11.0781 523 12.8991 2,316 14.9273 13,650 13.9186 2,247 11.7384 1,135 20.8731 3,386 Apr. 30 11.8601 520 13.9057 2,332 16.2282 13,274 13.7953 2,052 11.4221 1,222 21.6469 3,412 May 31 11.4988 512 14.2345 2,346 17.7627 12,797 13.8508 1,853 11.5427 1,080 22.0627 3,424 June 29 11.0469 510 14.7504 2,359 17.5250 12,637 13.8856 1,623 11.1976 1,015 21.6310 3,412 July 31 10.7888 507 13.9434 2,338 16.3112 12,615 14.3734 1,874 11.1993 1,062 21.7463 3,416 Aug. 31 10.5301 511 13.4928 2,280 16.9681 12,461 14.5395 2,087 11.2342 1,014 21.1983 3,395 Sep. 28 9.4039 504 11.6652 2,183 12.5815 12,937 14.7923 2,270 10.1721 975 20.1568 3,356 Oct. 31 9.6486 496 12.3405 2,196 9.9982 12,891 15.1043 2,744 10.3542 1,007 20.4546 3,309 Nov. 30 10.0623 499 13.2877 2,209 11.7500 13,018 14.8895 2,230 10.7189 1,417 21.1589 3,292 Dec. 28 10.1222 501 14.2424 2,288 11.8312 12,520 14.7295 2,019 10.7060 1,208 21.4151 3,264 2000 ---- Jan. 31 $14.4818 681 $13.9815 2,074 $21.5389 17,217 $12.0219 685 $12.6229 1,106 $19.5946 4,174 Feb. 29 14.8314 671 16.2818 2,373 20.1454 16,368 12.1693 667 12.7399 1,095 18.9830 3,934 Mar. 31 15.3361 610 15.2094 2,621 19.1315 15,837 12.3473 715 12.5931 1,090 20.0213 3,768 Apr. 28 14.4853 599 14.3024 2,576 19.6663 14,915 12.3160 1,412 12.5408 1,128 20.0210 3,655 May 31 14.0998 597 13.4733 2,525 21.1016 14,897 12.3112 1,206 12.1802 1,036 20.1586 3,546 June 30 14.6312 588 14.6182 2,573 21.0186 14,600 12.5651 842 12.4954 1,106 20.1361 3,517 July 31 13.9621 578 14.1639 2,498 19.4570 14,862 12.6850 925 12.4008 1,037 20.2212 3,460 Aug. 31 14.0845 578 15.2364 2,431 22.1114 13,424 12.8842 1,156 12.4625 997 20.9049 3,437 Sep. 29 13.3368 573 14.7869 2,384 14.9744 15,831 12.9336 1,206 12.1530 979 21.0194 3,409 Oct. 31 12.9439 556 14.1397 2,406 16.3784 16,123 13.0153 1,094 11.7270 963 21.3309 3,393 Nov. 30 12.3594 555 12.6952 2,412 15.5068 15,358 13.2672 1,753 10.9610 935 20.8629 3,394 Dec. 29 12.7703 534 13.7799 2,441 14.5834 14,919 13.5398 1,882 11.3719 1,141 21.5904 3,367
22 UNIT VALUES AND PARTICIPANT UNITS (Cont'd) (in thousands, except per unit value data) T. Rowe Price Fidelity Growth Putnam Putnam T. Rowe Price Equity and Investors Vista PBHG Small-Cap Income Fund Income Fund Fund Fund Growth Fund Value Fund ---------------- ---------------- --------------- --------------- --------------- --------------- Unit Unit Unit Unit Unit Unit Value Units Value Units Value Units Value Units Value Units Value Units 2001 ---- Jan. 31 $16.4573 2,081 $17.4906 3,670 $18.4759 3,786 $21.0315 3,449 $15.3233 4,549 $13.8141 2,291 Feb. 28 16.2202 2,191 16.6282 3,629 16.3813 3,688 17.3575 3,262 11.9082 4,240 13.9050 2,544 Mar. 30 15.7897 2,277 15.7765 3,630 14.9283 3,625 14.3374 3,095 10.1238 4,054 13.6950 2,583 Apr. 30 16.2963 2,359 16.6958 3,719 16.2963 3,580 16.7036 3,141 12.0060 4,044 14.9196 2,827 May 31 17.0280 2,467 16.9194 3,737 16.3205 3,577 16.5636 3,149 11.8149 4,035 15.6754 3,115 June 29 16.6981 2,525 16.6901 3,820 15.8959 3,539 16.2203 3,177 11.9448 4,030 15.9406 3,311 July 31 16.7648 2,611 16.5286 3,746 15.2898 3,475 14.7562 3,098 10.8494 3,948 15.7439 3,564 Aug. 31 16.4735 2,681 15.7711 3,687 14.0785 3,417 13.5414 3,074 9.6191 3,830 15.4212 3,567 Sep. 28 15.3133 2,556 15.0783 3,619 12.7703 3,347 11.0036 2,977 8.2026 3,659 14.2380 3,172 Oct. 31 15.3058 2,569 15.1460 3,660 13.0601 3,296 12.0301 2,952 8.6446 3,646 14.8319 3,307 Nov. 30 16.2209 2,581 15.9331 3,676 14.1245 3,256 13.3212 3,006 9.2497 3,629 15.4259 3,507 Dec. 28 16.6181 2,605 16.1896 3,685 14.2812 3,242 14.0520 3,001 9.6591 3,585 16.4136 3,744 2000 ---- Jan. 31 $13.6470 1,778 $17.2656 4,115 $21.5391 4,085 $21.1776 2,282 $18.8153 2,951 $11.1211 1,861 Feb. 29 12.5407 1,682 16.8058 3,795 21.9557 3,998 26.2371 2,598 25.5228 4,400 11.6286 1,757 Mar. 31 13.9444 1,694 18.1643 3,660 23.7313 4,037 26.3341 3,072 23.3260 5,311 11.5713 1,710 Apr. 28 14.0641 1,974 17.8069 3,695 22.1934 4,046 24.3029 3,034 19.6756 4,848 11.8060 1,772 May 31 14.7239 1,946 17.5609 3,675 21.2633 4,090 22.3685 3,069 17.8522 4,822 11.7677 1,820 June 30 13.9660 1,792 18.2023 3,676 22.3953 4,121 25.2265 3,198 21.3429 5,197 12.2562 1,875 July 31 14.1407 1,710 18.0173 3,647 22.0255 4,103 23.6935 3,294 19.8532 5,007 12.2814 1,984 Aug. 31 14.8403 1,713 18.9057 3,657 23.7772 4,111 26.7095 3,349 23.4072 5,054 13.0238 2,067 Sep. 29 14.9260 1,700 18.4404 3,635 22.0725 4,075 26.2956 3,493 21.4927 4,897 13.1188 2,178 Oct. 31 15.6656 1,772 18.5426 3,657 21.1305 4,005 24.2641 3,562 19.6409 5,012 12.7505 2,247 Nov. 30 15.5078 1,949 17.5589 3,664 18.4606 3,958 19.2408 3,632 14.1647 4,940 12.3822 2,215 Dec. 29 16.2467 1,957 17.7094 3,672 18.7302 3,918 20.8136 3,552 14.4894 4,812 13.3942 2,252
23 UNIT VALUES AND PARTICIPANT UNITS (Cont'd) (in thousands, except per unit value data) Putnam OTC MSIF RogersCasey MFS Putnam Skyline Special & Emerging Value Smaller Institutional Voyager Equity Fund Growth Fund Fund Stock Fund Research Fund Fund --------------- --------------- --------------- ---------------- --------------- --------------- Unit Unit Unit Unit Unit Unit Value Units Value Units Value Units Value Units Value Units Value Units 2001 ---- Jan. 31 $14.3410 1,469 $14.3006 5,294 $14.8302 2,498 $47.5652 7,326 $18.3167 896 $19.9465 3,595 Feb. 28 13.7346 1,699 9.7598 4,841 14.4748 2,640 44.9527 7,301 16.0685 866 17.5267 3,502 Mar. 30 13.3394 1,555 7.5930 4,638 14.1001 2,600 42.8075 7,196 14.5697 839 16.0433 3,371 Apr. 30 13.9253 1,459 9.4019 5,142 15.0243 2,671 46.7984 7,158 16.0687 842 17.5017 3,364 May 31 14.5113 1,490 9.1757 5,123 15.3425 2,709 48.4097 7,141 15.8668 847 17.4934 3,333 June 29 15.1237 1,574 9.1470 5,172 15.0044 2,716 49.7061 7,114 15.3040 831 17.1030 3,302 July 31 15.0003 1,634 8.1952 5,154 15.1967 2,765 48.6854 7,094 14.7412 804 16.6298 3,223 Aug. 31 14.9519 1,724 7.1115 4,783 14.7998 2,820 47.1618 7,062 13.6454 793 15.3944 3,173 Sep. 28 12.7374 1,555 5.4911 4,441 13.3306 2,571 40.6258 6,951 12.3478 770 13.9022 3,103 Oct. 31 13.6154 1,540 6.1406 4,499 13.3519 2,254 42.1924 6,891 12.7074 762 14.1583 3,030 Nov. 30 14.5683 1,595 6.9597 5,033 14.3202 2,479 45.7488 6,796 13.6288 757 15.3174 3,008 Dec. 28 15.3985 1,663 7.3077 4,813 14.9318 2,475 48.8415 6,787 13.8932 754 15.5796 2,981 2000 ---- Jan. 31 $10.4531 997 $27.8730 4,473 $10.6832 1,198 $40.2474 8,120 $17.4053 758 $23.0378 3,370 Feb. 29 10.2347 888 35.9490 5,535 10.0099 1,105 43.4365 7,940 18.5156 735 25.6822 3,602 Mar. 31 11.2428 861 30.4363 5,477 11.5367 1,301 45.5371 7,818 19.9686 880 26.2152 3,846 Apr. 28 11.3448 864 21.5632 5,104 12.1437 1,681 44.4006 7,725 19.1769 844 23.8031 3,866 May 31 11.2968 871 18.7794 5,380 11.8488 1,464 43.0696 7,663 18.5858 835 22.2473 3,848 June 30 11.6646 817 24.0580 5,592 11.0308 1,250 45.6066 7,624 19.5189 842 23.9975 3,905 July 31 12.0323 905 22.1595 5,649 11.3816 1,212 45.6604 7,599 19.2708 844 23.2082 3,895 Aug. 31 12.6044 977 25.0285 5,340 12.1160 1,241 49.3937 7,621 21.1491 930 25.1688 3,884 Sep. 29 12.6178 1,012 22.3924 4,676 12.2685 1,279 48.0000 7,622 19.9672 928 23.2075 3,794 Oct. 31 12.5018 967 19.1135 5,566 13.3708 1,538 46.7278 7,535 19.3407 905 22.2379 3,791 Nov. 30 12.1065 1,017 12.0678 5,488 13.1984 1,796 42.7728 7,466 17.1666 888 19.6007 3,787 Dec. 29 13.4554 1,110 13.3492 5,334 14.1868 2,039 45.7690 7,395 17.5818 879 19.8140 3,750
24 UNIT VALUES AND PARTICIPANT UNITS (Cont'd) (in thousands, except per unit value data) Cohen T. Rowe Price T. Rowe Price Morgan Stanley & Steers First Eagle Blue Chip T. Rowe Price Science & Institutional Realty Fund Fund of America Growth Fund New Era Fund Technology Fund Int'l. Equity Fund --------------- --------------- --------------- ---------------- --------------- ------------------ Unit Unit Unit Unit Unit Unit Value Units Value Units Value Units Value Units Value Units Value Units 2001 ---- Jan. 31 $12.9031 1,198 $18.0321 1,007 $19.0093 3,467 $14.0631 538 $21.0024 10,882 $17.1988 3,331 Feb. 28 12.6760 1,054 17.7197 1,049 16.9814 3,416 14.2346 571 14.2725 10,628 16.7376 3,327 Mar. 30 12.5499 998 17.0189 1,037 15.5297 3,311 13.9211 625 11.6131 10,697 15.7761 3,281 Apr. 30 12.9266 940 18.0066 1,065 17.0921 3,377 15.1629 723 15.1379 11,049 16.5707 3,284 May 31 13.0797 923 18.8254 1,132 17.2197 3,373 15.4172 763 14.2671 11,083 16.4234 3,255 June 29 13.7789 1,096 18.8160 1,204 16.7867 3,355 14.0443 679 13.5688 11,180 16.2166 3,235 July 31 13.4596 1,050 18.9501 1,288 16.3593 3,329 14.0968 611 12.6451 10,943 15.9902 3,223 Aug. 31 13.8787 1,255 18.8141 1,364 15.2117 3,260 13.7650 589 10.6145 11,027 15.9697 3,223 Sep. 28 13.1869 1,023 17.0660 1,258 14.1252 3,187 12.3275 513 8.1020 10,547 14.9978 3,119 Oct. 31 12.7401 998 17.6137 1,262 14.6729 3,194 13.1132 511 9.5121 10,980 15.1343 3,120 Nov. 30 13.3362 945 18.4230 1,297 15.8242 3,185 13.0357 497 10.9955 11,098 15.6338 3,106 Dec. 28 13.6281 974 18.7514 1,324 16.2388 3,151 13.8078 477 11.2043 10,976 15.7763 3,109 2000 ---- Jan. 31 $10.0425 575 $16.3653 1,216 $18.6304 3,118 $11.3106 276 $26.8071 9,554 $15.0393 3,519 Feb. 29 9.7913 499 16.2643 1,098 18.8257 3,074 10.8393 258 32.1034 9,851 14.9734 3,385 Mar. 31 10.3143 491 16.6911 1,041 20.4564 3,208 12.2413 332 31.6355 10,348 16.0368 3,252 Apr. 28 10.6773 703 15.9200 992 19.8312 3,322 12.3616 440 28.2172 10,335 15.8566 3,180 May 31 10.7804 789 16.0286 957 19.3965 3,292 13.1556 857 24.8338 10,419 16.3883 3,252 June 30 11.1670 881 16.1792 943 20.5665 3,380 12.5967 611 27.5886 10,554 17.3371 3,342 July 31 12.2521 1,710 16.0449 917 20.1690 3,436 12.4103 389 26.3730 10,182 16.8868 3,318 Aug. 31 11.8450 1,176 16.6981 898 21.8736 3,591 13.3794 510 31.3392 9,948 16.9111 3,295 Sep. 29 12.3747 1,296 16.5386 886 20.7719 3,561 13.2588 497 27.5559 9,810 16.3627 3,230 Oct. 31 11.8032 1,020 16.8149 881 20.3002 3,541 12.9462 428 25.3299 10,347 16.4769 3,209 Nov. 30 12.0802 1,020 16.5968 920 18.3356 3,571 12.7654 428 18.4187 10,556 16.5749 3,216 Dec. 29 12.8857 1,338 17.2808 918 18.7545 3,544 14.3697 508 18.6578 10,579 17.5422 3,243
25 UNIT VALUES AND PARTICIPANT UNITS (Cont'd) (in thousands, except per unit value data) Russell Artisan State Street Templeton Matthews International International Emerging Mkts. Developing Pacific Scudder Latin Stock Fund Fund Index Fund Markets Fund Tiger Fund I America Fund ---------------- --------------- --------------- ---------------- --------------- --------------- Unit Unit Unit Unit Unit Unit Value Units Value Units Value Units Value Units Value Units Value Units 2001 ---- Jan. 31 $16.4153 2,130 $17.0036 477 $ 7.8050 351 $ 7.8477 788 $ 8.2241 893 $12.0167 537 Feb. 28 15.3599 2,094 16.0339 631 7.1559 341 7.2634 743 7.8055 888 11.0793 492 Mar. 30 14.2634 2,072 14.7796 657 6.4383 341 6.5836 726 7.0113 666 10.3526 458 Apr. 30 15.2456 2,049 15.5382 684 6.7550 303 6.8832 699 7.5664 691 10.8159 500 May 31 14.8580 2,031 15.2130 730 6.8185 287 7.1361 709 7.6773 637 11.3319 458 June 29 14.3942 2,012 15.1194 729 6.6623 289 7.1025 726 7.4635 671 11.4051 453 July 31 13.9819 1,987 14.9096 735 6.2326 279 6.6628 683 7.0276 507 10.7148 437 Aug. 31 13.6725 1,969 14.7230 759 6.1495 276 6.6758 692 6.7540 582 10.3246 434 Sep. 28 12.0943 1,948 12.9884 740 5.1766 278 5.8168 704 5.8486 553 8.9184 412 Oct. 31 12.4366 1,936 13.4212 752 5.4906 283 5.9895 644 6.1728 450 9.1548 389 Nov. 30 13.0646 1,901 13.7572 742 6.0590 360 6.3552 643 7.1034 539 9.7335 397 Dec. 28 13.1668 1,892 14.1992 747 6.4767 357 6.5831 642 7.4855 611 10.6151 402 2000 ---- Jan. 31 $18.2159 2,500 $20.2668 1,280 $10.1697 438 $ 9.8426 893 $ 9.5491 661 $11.7454 600 Feb. 29 19.3155 2,764 23.5250 1,259 10.3897 394 9.4788 829 9.8702 605 12.4397 592 Mar. 31 19.3266 2,513 22.7992 1,206 10.2117 344 9.5791 766 10.3034 253 12.8379 555 Apr. 28 18.0958 2,380 20.1450 1,593 9.3971 324 8.7763 747 9.2151 461 11.4533 499 May 31 17.5467 2,365 18.6478 1,597 8.9862 323 8.1062 738 8.6597 499 10.6906 502 June 30 18.3800 2,337 19.5656 1,619 9.2094 318 8.7030 734 9.5750 455 12.0747 487 July 31 17.6558 2,324 19.3208 1,652 8.7198 309 8.3582 703 9.3127 444 12.0550 544 Aug. 31 17.8672 2,289 19.7557 1,631 8.7689 289 8.5104 698 9.3426 459 12.4676 542 Sep. 29 16.8709 2,223 18.7479 1,599 8.0185 267 7.6612 707 8.4745 416 11.5981 488 Oct. 31 16.2544 2,187 17.3527 1,470 7.3943 273 7.0177 684 7.6263 506 11.0442 474 Nov. 30 15.7088 2,169 15.9401 1,336 6.7000 276 6.6462 676 7.1722 386 10.0339 463 Dec. 29 16.3113 2,173 16.2738 1,242 6.8401 275 7.0308 667 6.9485 488 10.6686 445
26 NOTE 7: SIGNIFICANT INVESTMENTS The following table represents investments having a value equal to or greater than 5% of net assets at December 30, 2001 and 2000: (in thousands) Principal Fair or Maturity Interest Amount or Contract Investment Date Rate Shares/Units Cost Value ---------- ---------- -------- ------------ ---- -------- 2001 John Hancock Mutual Life Ins. GAC #15187 04/01/2011 6.79% $385,557 $385,557 $387,785 Principal Mutual Life Ins. #4-20445-2 11/15/2007 7.7% 489,633 489,633 492,462 -------- -------- TOTAL $875,190 $880,247 ======== ======== 2000 Principal Mutual Life Ins. #4-20445-2 11/15/2007 7.7% $454,627 $454,627 $457,400 Kodak S&P 500 Fund N/A N/A 12,328 311,192 388,228 -------- -------- TOTAL $765,819 $845,628 ======== ======== NOTE 8: FEDERAL INCOME TAX STATUS In June 1998, the Plan received a favorable tax determination letter from the Internal Revenue Service (IRS) in which the IRS stated that the Plan is in compliance with the applicable requirements of the Internal Revenue Code. The Plan has been amended since receiving such letter. The Plan Administrator and the Plan's tax counsel believe that the Plan is currently designed and being operated in compliance with the applicable requirements of the Internal Revenue Code. Therefore, no provision for income taxes has been included in the Plan's financial statements. On June 1, 1999, the Plan Administrator applied for a new determination letter prompted by a series of changes in the IRS Code that affect qualified retirement plans. The Plan Administrator believes the Plan is designed and is currently being operated in compliance with the applicable requirements of the Code.
27 Schedule I EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- 5 TO 8 YEAR TIME HORIZON FUND Kodak GIC Fund 375 $ 7,636 $ 8,224 Kodak Russell 2000 Fund 113 1,531 1,611 Kodak EAFE Equity Index 223 2,851 2,401 Kodak Lehman Aggregate Fund 578 7,473 8,168 Kodak S&P 500 Fund 327 9,925 9,193 Kodak Emerging Mkts. Index 99 691 643 -------- -------- Total $ 30,107 $ 30,240 ======== ======== Percent of Net Assets 0.6% 8 TO 20 YEAR TIME HORIZON FUND Kodak GIC Fund 238 $ 4,484 $ 5,215 Kodak Russell 2000 Fund 315 3,977 4,486 Kodak EAFE Equity Index 778 9,733 8,358 Kodak Lehman Aggregate Fund 367 4,446 5,171 Kodak S&P 500 Fund 608 16,784 17,069 Kodak Emerging Mkts. Index 345 2,502 2,237 -------- -------- Total $ 41,926 $ 42,536 ======== ======== Percent of Net Assets 0.8% 20 OR MORE YEAR TIME HORIZON FUND Kodak Russell 2000 Fund 361 $ 4,751 $ 5,142 Kodak EAFE Equity Index 744 9,738 7,987 Kodak S&P 500 Fund 582 17,023 16,310 Kodak Emerging Mkts. Index 528 3,957 3,418 -------- -------- Total $ 35,469 $ 32,857 ======== ======== Percent of Net Assets 0.6%
28 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Maturity Interest Contract Description Dates Rates Value ----------- -------- -------- -------- FIXED INCOME FUND Group Annuity Contracts Aetna Life Insurance Co. 01/02/02-04/01/03 6.72%- 8.50% $ 132,341 Bankers Trust 12/31/02 7.58% 145,827 CDC Capital 03/31/04 6.21% 63,258 John Hancock Mutual Life Insurance Co. 10/03/02-04/01/11 6.21%-10.10% 733,181 Metropolitan Life Insurance Co. 1/12/02-01/15/08 5.08%- 7.34% 282,387 Monumental Life Insurance Co. 02/15/06 5.72% 97,993 New York Life Insurance Co. 12/31/04-10/01/07 7.15%- 8.39% 315,007 NISA/AEGON 10/01/75 3.72% 155,435 Principal Mutual Life Insurance Co. 11/23/03-11/01/08 6.31%- 7.70% 985,280 The Prudential Life Insurance Co. of America 12/31/03-10/02/06 7.75%- 7.97% 568,452 Travelers Insurance Company 07/01/10 7.60% 86,974 ---------- Total $3,566,135 ========== Percent of Net Assets 65.4% Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- Common/Collective Trusts TBC Inc. Daily Liquidity Fund $28,903 $ 28,903 $ 28,903 ======== ======== Percent of Net Assets 0.5% LEHMAN BROTHERS AGGREGATE BOND INDEX FUND Kodak Lehman Aggregate Fund 1,648 $ 22,667 $ 23,207 ======== ======== Percent of Net Assets 0.4%
29 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- S&P 500 LARGE STOCK INDEX FUND Kodak S&P 500 Fund 9,689 $241,952 $271,649 ======== ======== Percent of Net Assets 5.0% NON-U.S. STOCK INDEX FUND Kodak EAFE Equity Index 420 $ 6,050 $ 4,509 Kodak Emerging Mkts. Index 83 666 537 -------- -------- Total $ 6,716 $ 5,046 ======== ======== Percent of Net Assets 0.1% RUSSELL 2000 SMALL STOCK INDEX FUND Kodak Russell 2000 Fund 2,271 $ 30,649 $ 32,343 ======== ======== Percent of Net Assets 0.6% KODAK STOCK FUND Eastman Kodak Company Common Stock 4,721 $265,969 $143,882 ======== ======== Percent of Net Assets 2.6% Common/Collective Trust TBC Inc. Daily Liquidity Fund $ 4,373 $ 4,373 $ 4,373 ======== ======== Percent of Net Assets 0.1% PIMCO TOTAL RETURN FUND PIMCO Funds Pac. Investment Mgmt. Ser. 2,911 $ 31,252 $ 30,278 ======== ======== Percent of Net Assets 0.6%
30 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- MSIF HIGH YIELD FUND MSIF High Yield Portfolio 2,339 $ 14,407 $ 13,168 ======== ======== Percent of Net Assets 0.2% FIDELITY PURITAN FUND Fidelity Puritan Tr Puritan Fund 3,948 $ 70,606 $ 69,960 ======== ======== Percent of Net Assets 1.3% T. ROWE PRICE EQUITY INCOME FUND T. Rowe Price Equity Income Fund 1,817 $ 44,694 $ 43,269 ======== ======== Percent of Net Assets 0.8% FIDELITY GROWTH AND INCOME FUND Fidelity Securities Fund Growth & Income Portfolio 1,583 $ 64,909 $ 59,682 ======== ======== Percent of Net Assets 1.1% PUTNAM INVESTORS FUND Putnam Investors Fund Inc. CL 3,922 $ 58,879 $ 46,280 ======== ======== Percent of Net Assets 0.8% PUTNAM VISTA FUND Putnam Vista Fund Inc. CL 4,687 $ 70,650 $ 42,323 ======== ======== Percent of Net Assets 0.8%
31 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- PBHG GROWTH FUND PBHG Funds Inc. Growth Fund 1,666 $ 67,497 $ 34,561 ======== ======== Percent of Net Assets 0.6% T. ROWE PRICE SMALL-CAP VALUE FUND T. Rowe Price Small Cap. Value Fund Inc. Cap. Stk. 2,679 $ 56,138 $ 61,021 ======== ======== Percent of Net Assets 1.1% SKYLINE SPECIAL EQUITY FUND Skyline Fund Special Equities Portfolio 1,134 $ 23,086 $ 25,639 ======== ======== Percent of Net Assets 0.5% PUTNAM OTC & EMERGING GROWTH FUND Putnam OTC & Emerging Growth Fund CL 4,513 $ 44,349 $ 35,019 ======== ======== Percent of Net Assets 0.6% MSIF VALUE FUND MSIF Trust Value Portfolio 2,409 $ 34,615 $ 36,947 ======== ======== Percent of Net Assets 0.7%
32 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND Preferred Stocks Chart House Enterprises Inc. Pfd. Ser. A 11 $ 23 $ 9 ======== ======== Percent of Net Assets 0.0% Common Stocks AAR Corp. 42 $ 545 $ 382 AFC Enterprises Inc. Com. 27 635 772 AGCO Corp. Com. 8 130 123 AMN Healthcare Svcs. Inc. Com. 5 103 135 ASM International N V 8 145 159 Aaron Rents Inc. Com. 45 621 733 Abercrombie & Fitch Co. CL A 10 198 276 Abgenix Inc. Com 12 335 406 Abiomed Inc. 19 456 315 Accredo Health Inc. Com. 7 202 271 Ace Cash Express Inc. 2 15 16 Aceto Corp. 3 35 32 Action Performance Cos. Inc. 1 35 41 Active Power Inc. 18 394 123 Activision Inc. 53 823 1,395 Adaptec Inc. Com. 2 16 29 Administaff Inc. Com. 42 1,050 1,165 Advanced Fiber Communications Inc. Com. 10 199 181 Advent Software Inc. 9 387 448 Advisory Board Co. Com. 7 162 190 Advo Inc. 9 330 379 Affiliated Managers Group Inc. Com. 1 36 35 Agile Software Corp. Del. Com. 6 240 101 Airborne Inc. Com. 2 20 27 Airgas Inc. 61 554 917 Airgate Pcs. Inc. Com. 12 312 533 Air Methods Corp. New 1 3 3 Airnet Sys. Inc. Com. 2 10 16 Alamosa Holdgs. Inc. Com. 12 173 142 Albany Intl. Corp. CL A 20 356 442
33 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Albany Molecular Resh. Inc. Com. 5 156 125 Albemarle Corp. 1 11 12 Alberto Culver Co. CL A 8 179 310 Alkermes Inc. Com. 10 275 268 Allen Telecom Inc. Com. 21 182 181 Alleghany Corp. Del. 1 83 77 Alliance Atlantic Commns. Inc. CL B 50 600 557 Alliant Energy Corp. Com. 10 289 300 Alliant Techsystems Inc. Com. 2 177 178 Allied Resh. Corp. 4 30 53 Alpha Inds. Inc. 11 277 255 Ambassadors International 1 14 17 AMB PPTYS. Corp. Com. 5 108 120 Amerco Inc. Com. 11 203 209 America First Mtg. Ivts. Inc. Com. 1 2 4 American Biltrite Inc. 2 42 25 American Business Finl. Svcs. Inc. Com. 2 20 30 American Cap Strategies Ltd. 18 470 508 American Eagle Outfitters New 6 175 166 American Financial Group Inc. Ohio Com. 20 575 492 American Greetings Corp. CL A 22 305 305 American Healthways Inc. 3 63 91 American Mgmt. Sys. Inc. Com. 19 326 352 American Natl. Ins. Co. 9 511 718 American Pharmaceuticals Partners Inc. Com. 3 41 53 American Pwr. Conversion Corp. Com. 26 358 380 American Woodmark Corp. 1 61 74 Americredit Corp. Com. 23 387 726 Ameripath Inc. 23 649 749 Ameristar Casinos Inc. 5 98 114 Ameron International Corp. 2 75 110
34 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Amli Residential PPTYS. Tr. Sh. Ben. Int. 12 290 314 Ampco Pittsburgh Corp. 6 75 57 Anadigics Inc. 19 223 294 Analogic Corp. Com. 3 115 120 Andersons Inc. Com. 1 8 8 Andrx Group 10 566 732 Angelica Corp. Com. 4 29 38 Anixter Int'l. Inc. Com. 13 291 360 Annaly Mtg. Mgmt. Inc. Com. 3 31 44 AnnTaylor Stores Corp. Com. 19 520 666 Annuity and Life RE Hldgs. 19 419 467 Anthracite Cap Inc. Com. 1 5 6 Aon Corp. Com. 82 1,864 2,901 Apogent Technologies Inc. Com. 23 427 590 Arden Group Inc. CL A 3 75 180 Arena Pharmaceuticals Inc. Com. 12 236 154 Argosy Gaming Co. Com. 2 37 73 Arrow Int'l. Inc. Com. 1 15 20 Ashland Inc. 44 1,539 2,034 Associated Matls. Inc. Com. 3 39 96 Asta Fdg. Inc. Com. 2 12 29 Astoria Finl. Corp. Com. 16 232 426 Atlantic Tele-Network Inc. Com. New 1 4 4 AT&T Corp. Com. 143 2,136 2,600 Autodesk Inc. Com. 30 870 1,100 Aviron Com. 6 196 309 Aztar Corporation 26 391 479 Axcan Pharma Inc. Com. 44 557 631 BHA Group Holdgs. Inc. 1 1 2 BISYS Group Inc. Com. 37 997 2,347 BNCCORP Inc. 2 14 11 Baker Michael Corp. 2 14 22 Baldwin Technology Inc. CL A 18 76 24
35 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Ball Corp. Com. 2 56 141 Ballys Total Fitness Hldg. Corp. 9 275 204 BankNorth Group Inc. New 18 248 395 Bankunited Fin. Corp. CL A 8 105 114 Banta Corp. 13 229 391 Barnes & Noble Inc. Com. 17 563 501 Barnwell Inds. Inc. 1 9 10 Barr Labs Inc. 1 81 113 Bausch & Lomb Inc. Com. 20 808 771 Bay View Cap Corp. Del. Com. 50 351 363 BEA Sys. Inc. Com. 39 621 632 Beazer Homes USA Inc. 2 52 155 Bed Bath & Beyond Inc. Com. 52 520 1,790 Bell Inds. Inc. 9 136 19 Bell Microproducts Inc. Com. 6 58 82 Belo Corporation 35 631 670 Berkley W. R. Corp. Com. 4 177 221 Berkshire Bancorp Inc. Del. Com. 1 32 25 Bio Rad Labs Inc. CL A 1 63 89 Blair Corp. 3 62 74 Blyth Inc. Com. 27 657 637 Boise Cascade Corp. Com. 27 886 911 Borders Group Inc. Com. 9 215 186 Borg Warner Inc. Com. 8 417 423 Borland Software Corp. Com. 4 37 63 Boston Private Finl. Hldgs. Inc. 39 757 861 Bostonfed Bancorp Inc. Com. 4 56 92 Bowne & Co. Inc. Com. 41 477 538 Boykin Lodging Co. Com. 1 9 6 Brandywine Rlty Tr. Sh. Ben. Int. New 18 334 376 Britesmile Inc. Com. 7 64 33 Brooks Automation Inc. Com. 4 126 164 Brookstone Inc. 6 100 68 Brunswick Corp. Com. 51 1,007 1,092 Brush Engineered Materials Inc. 11 196 145
36 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Burlington Coat Factory Whse. Corp. Com. 23 279 376 Bush Inds. Inc. Com. 55 890 597 Butler Mfg. Co. Del. 3 72 71 CBL & Assoc. PPTYS Inc. Com. 3 67 85 CBRL Group Inc. Com. 20 255 594 CDW Computer Ctrs. Inc. Com. 10 232 543 CH Energy Group Inc. Com. 1 41 48 C H Robinson Worlwide Inc. 26 352 771 CPAC Inc. 3 20 18 CPI Corp. 5 101 84 CSG Sys. Intl. Inc. 29 1,216 1,178 CTS Corp. 31 624 482 CV Therapeutics Inc. Com. 13 614 692 Cal Dive Int'l Inc. Com. 14 349 364 California First Natl. Bancorp Com. 5 72 61 California Pizza Kitchen Inc. Com. 15 297 368 Cambrex Corp. Com. 6 274 253 Capital Corp. of the West Com. 1 14 18 Care Centric Inc. Com. 1 1 0 Caremark RX Inc. Com. 90 1,194 1,419 Carlisle Cos. Inc. Com. 17 597 624 Cascade Corp. 11 135 132 Cass Information Sys. Inc. Com. 1 18 22 Catalina Mktg. Corp. Com. 31 1,031 1,075 Cato Corp. CL A 12 127 218 Cell Therapeutics Inc. CDT Com. 1 5 4 Celgene Corp. 16 657 540 Centex Corp. Com. 19 712 1,117 Centra Software Inc. Com. 14 127 116 Central Garden & Pet Co. Com. 11 106 89 Cerus Corp. Com. 4 237 190 Champps Entmt. Inc. Com. 3 30 30 Charles Riv. Laboratories Intl. Inc. Com. 3 90 92
37 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Charming Shoppes Inc. PA Com. 31 163 167 Chart House Enterprises Inc. Com. 28 157 14 Charter Communications Inc. Del. CL A 53 771 906 Chase Inds. Inc. Com. 12 110 112 Checkfree Corp. New Com. 7 256 121 Checkpoint Sys Inc. Com. 6 80 73 Chemfirst Inc. Com. 1 4 5 Chicos Fas. Inc. Com. 2 52 64 Childtime Learning Ctrs. Inc. 6 45 33 Chromcraft Revington Inc. 4 42 40 Cirrus Logic Inc. Com. 16 237 226 Clarcor Inc. 11 194 293 Clark/Bardes Inc. Com. 4 55 97 Clayton Homes Inc. Com. 30 388 519 Coachmen Inds. Inc. 3 30 36 Cobra Electrs. Corp. 1 6 5 Cole Nate Corp. New CL A 2 15 24 Colonial Bancgroup Inc. Com. 40 409 602 Commercial Metals Co. 2 77 80 Commonwealth Bancorp Inc. Com. 5 69 108 Commscope Inc. Com. 42 960 896 Community Finl. Group Inc. 1 22 20 Community TR Bancorp Inc. Com. 1 13 16 Computer Horizons Corp. Com. 24 211 79 Computer Task Group Inc. Com. 28 359 104 Comtech Telecommunications Cor. New 4 53 44 Comverse Technology Inc. Com. 10 277 221 Concord EFS Inc. Com. 60 333 1,962 Conmed Corp. Com. 5 97 96 Conrad Inds. Inc. Com. 2 10 8 Conseco Inc. Com. 57 552 237 Constellation Brands Inc. CL A 27 661 1,152 Continental Matls. Corp. Com. 1 9 18
38 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Cooper Cos. Inc. Com. New 2 110 109 Coors Adolph Co. CL B 6 366 321 Coorstek Inc. Com. 14 273 432 Corinthian Colleges Inc. Com. 10 345 421 Corn Prods. Intl. Inc. Com. 27 713 962 Corporate Executive Bd. Co. Com. 29 889 1,076 Corporate Office PPTYS TR Com. 7 52 88 Corrpro Companies Inc. 11 65 29 Corus Bankshares Inc. 8 255 350 Cost Plus Inc. Calif. 18 464 477 Covance Inc. Com. 3 63 64 Coventry Health Care Inc. Com. 29 351 564 Cox Radio Inc. CL A 17 380 417 Crane Co. 6 147 152 Cray Inc. Com. 40 86 73 Credence Sys. Corp. 21 453 401 Crompton Corp. Com. 26 234 249 Crown Group Inc. Com. 1 3 3 Cummins Inc. Com. 9 315 348 Curtiss Wright Corp. 2 81 101 Cytyc Corp. Com. 7 132 173 DRS Technologies Inc. Com. 1 20 17 D R Horton Inc. 20 393 661 Danaher Corp. Com. 15 340 926 Darden Restaurants Inc. 30 501 1,084 Datascope Corp. 10 342 344 Dave & Busters Inc. 7 62 44 Davita Inc. Com. 1 9 12 Del Labs Inc. Com. 1 5 8 Dentsply Int'l. Inc. New Com. 1 31 36 Devry Inc. Del. Com. 30 553 861 Dewolfe Cos. Inc. 2 11 20 Diagnostic Prods. Corp. Com. 1 13 35 Dial Corp. New Com. 6 81 108 Diamondcluster Intl. Inc. 2 33 25 Diebold Inc. 10 302 396
39 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Digex Inc. Del. CL A Com. 9 325 25 Digi Intl. Inc. 2 15 10 Digital Think Inc. Com. 74 833 811 Direct Focus Inc. Com. 3 81 81 Docent Inc. Com. 15 169 46 Documentum Inc. Com. 7 140 158 Doubleclick Inc. Com. 71 943 846 Drew Inds. Inc. Com. New 2 15 15 Duane Reade Inc. Com. 6 192 171 Dun & Bradstreet Corp. Del. New 50 1,281 1,801 Dyax Corp. Com. 12 317 138 EFTC Corp. Com. 3 5 5 ESS Technology Inc. Com. 7 147 144 E-Z-EM Inc. CL B 4 17 20 Eaton Vance Corp. Non Vtg. Com. 16 280 558 Ebay Inc. Com. 6 344 408 Echostar Communications Corp. New CL A 8 58 205 Edelbrock Corp. 2 19 20 Edo Corp. 2 18 53 Education Mgmt. Corp. 36 641 1,332 Edwards A G Inc. Com 28 798 1,243 Edwards Life Sciences Corp. Com. 38 925 1,090 Efunds Corp. Com. 34 383 472 Elantec Semiconductor Inc. Com. 6 164 224 Elcor Corp. Com. 27 405 787 Electro Rent Corp. 16 197 211 Electro Scientific Inds. Inc. 38 1,060 1,160 Elmira Svgs. Bk. FSB Elmira NY 1 7 9 Emmis Communications Corp. Com. 52 1,199 1,245 Endo Pharmaceuticals Hldgs. Inc. Com. 7 60 86 Endocare Inc. 9 152 158 Energy East Corp. Com. 41 833 769 Ennis Business Forms Inc. Com. 4 34 42
40 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Entercom Communications Corp. 6 233 292 Entravision Communications Cor. CL A 70 869 803 Equitable Res. Inc. Com. 27 566 924 Equity Marketing Inc. 1 3 3 Esco Technologies Inc. Com. 1 14 20 Esterline Technologies Corp. 15 295 250 Ethan Allen Interiors Inc. Com. 3 68 129 Euronet Worldwide Inc. Com. 38 506 687 Evans & Sutherland Computer 24 349 154 Exar Corp. Com. 18 476 402 Excel Technology Inc. 11 200 190 Exponent Inc. Com. 1 8 13 Express Scripts Inc. Com. 24 936 1,130 FBL Fin'l Group Inc. CL A 5 59 81 FBR Asset Invt. Corp. 1 14 17 FFW Corp. 1 9 9 FFLC Bancorp Inc. Com. 1 1 2 FLIR Sys. Inc. 1 13 16 FMC Corp. New Com. 12 720 712 FSF Financial Corp. 2 21 26 FSI Int'l. Inc. 27 294 250 Factory 2-U Inc. Com. 3 49 68 Farmer Bros. Co. 1 59 80 Fastenal Co. 16 913 1,089 Federal Screw Wks. Com. 1 11 18 Federal Signal Corp. 30 522 682 Fedex Corp. Com. 84 1,743 4,384 Fidelity Bancorp Inc. 1 18 27 Fidelity Natl. Finl. Corp. 23 507 564 Filenet Corp. 11 140 216 Financial Inds. Corp. 4 40 54 Finish Line Inc. CL A 7 70 103 First American Corp. Com. 11 219 201 First Citizens Bancshares Inc. N C CL A 5 330 451
41 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) First Franklin Corp. 1 12 12 First Horizon Pharmaceutical Corp. 7 124 230 First Health Group Corp. Com. 24 565 595 First Service Corp. 45 931 1,249 Fiserv Inc. Com. 27 732 1,189 Fleetwood Enterprises Inc. Com. 35 487 396 Fleming Cos. Inc. Com. 4 99 78 Flexsteel Inds. Inc. 1 9 8 Flowserve Corp. Com. 45 1,099 1,194 Foodarama Supermarkets Inc. 1 15 32 Foot Locker Inc. Com. 13 193 202 Footstar Inc. Com. 13 461 398 Franklin Bk. N A Southfield MICH 1 15 25 Fresh Brands Inc. Com. 2 30 34 Friedmans Inc. CL A 6 56 51 Frischs Restaurants Inc. 1 11 12 Frontier Oil Corp. Com. 12 209 191 Fuller H B Co. Com. 3 84 82 Furniture Brands Intl. Inc. Com. 26 561 834 G & K Svcs. Inc. CL A 4 87 115 G III Apparel Group Ltd. 1 9 8 Garan Inc. 1 31 45 Garden Fresh Restaurant Corp. CA Com. 4 67 25 Gartner Inc. 36 330 413 Gemstar-TV Guide Int'l. Inc. 44 1,606 1,272 Gencorp Inc. 34 328 487 General Cable Corp. Del. Com. New 25 385 316 General Motors Corp. Com. 63 3,743 3,082 General Motors Corp. CL H New 192 3,089 2,947 Gentex Corp. Com. 37 929 1,010 Genesis Microchip Inc. Com. 6 429 429 Genlyte Group Inc. Com. 7 93 226 Gentiva Health Svcs. Inc. 1 20 20 Gerber Scientific Inc. Com. 2 11 15
42 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Glatfelter P. H. Co. 21 250 329 Glenborough Rlty. Tr. Inc. 19 331 372 Global Sports Inc. Com. 6 108 110 Globespanvirata Inc. Com. 4 145 54 Gold Banc Corp. Inc. Com. 1 4 4 Gottschalks Inc. 6 33 14 Great Atlantic & Pac. Tea Inc. 2 24 38 Greenbrier Cos. Inc. Com. 3 42 18 Greenpoint Finl. Corp. Com. 38 806 1,357 Greif Bros. Corp. CL A 5 145 168 Grey Global Group Inc. Com. 1 72 200 Griffon Corp. Com. 86 790 1,245 Group 1 Software Inc. New Com. 2 15 39 Gtech Hldgs. Corp. Com. 18 581 832 HCC Ins. Hldgs. Inc. Com. 33 881 903 HNC Software Inc. Com. 31 635 646 HPSC Inc. 2 21 16 HRPT Pptys. Tr. Com. SBI 4 36 37 Haemonetics Corp. Mass. Com. 17 517 578 Haggar Corp. Com. 1 9 8 Handleman Co. Del. 21 248 325 Hanover Compressor Co. Com. 13 374 343 Harley Davidson Inc. Com. 15 218 810 Harman Intl. Inds. Inc. New Com. 50 1,251 2,318 Harsco Corp. 1 24 28 Healthcare Svcs. Group Inc. 4 18 38 Healthcare Realty Trust Inc. 17 298 478 Health Net Inc. 13 220 280 Healthsouth Corp. Com. 49 296 712 Hearst Argyle Television Inc. 1 14 15 Hector Communications Corp. 2 12 25 Helmerich & Payne Inc. Com. 12 339 387 Hi-Tech Pharmacal Inc. 1 6 15 Hibernia Corp. CL A Com. 24 218 428 Highwoods PPTYS Inc. Com. 22 564 576 Hilton Hotels Corp. Com. 320 4,559 3,514
43 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Holly Corp. 5 89 94 Horizon Health Corp. Com. 1 1 3 Host Marriott Corp. New Com. 353 7,118 3,280 Hot Topic Inc. 6 173 194 Hub Group Inc. CL A 3 35 27 Hughes Supply Inc. Com. 1 30 32 Humana Inc. Com. 23 211 273 Hunt Corp. Com. 1 4 5 Hutchinson Technology Inc. Com. 33 616 754 Hydril Co. Com. 6 144 101 Hyperion Solutions Corp. Com. 2 31 48 IMCO Recycling Inc. 1 3 3 IMS Health Inc. Com. 40 1,061 782 IPC Holdings Ltd. Com. 11 278 317 ISTAR Fin'l. Inc. 23 516 556 ITLA Cap. Corp. 3 47 61 ITT Edl. Svcs. Inc. Com. 1 27 26 Imation Corp. Com. 27 588 599 Imclone Systems Inc. 12 520 648 Impax Laboratories Inc. Com. 9 97 117 Independence Cmnty. Bk. Corp. Com. 5 78 118 Indymac Bancorp Inc. Com. 11 286 267 Informatica Corp. Com. 36 465 535 Information Res. Inc. 10 62 84 Innkeepers USA Tr. Com. 7 79 71 Insignia Finl. Group Inc. Com. New 1 8 8 Insight Commn. Inc. CL A Com. 20 497 489 Integra Lifesciences Hldg. Corp. 32 822 844 Integrated Circuit Sys. Inc. Com. New 25 350 570 Inter Parfums Inc. Com. 2 8 17 Inter Tel. Inc. Com. 1 15 18 Intergraph Corp. 13 126 181 Intermune Inc. Com. 4 152 207 International Bancshares Corp. 1 19 33 International Multifoods Corp. 9 182 203
44 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) International Speedway Corp. CL A 13 570 525 Interneuron Pharmaceuticals Inc. Com. 18 140 204 Interpool Inc. Com. 19 174 365 Interstate Bakeries Corp. Del. New Com. 9 130 223 Intertan Inc. 7 62 90 Interwoven Inc. 54 789 531 Invacare Corp. 13 447 454 Invitrogen Corp. Com. 18 1,108 1,146 Invivo Corp. 1 3 4 Investors Financial Svcs. CP 3 208 220 Iron Mtn. Inc. PA Com. 34 830 1,508 Isis Pharmaceuticals 7 143 162 J & J Snack Foods Corp. 3 44 73 Jabil Circuit Inc. Com. 30 385 710 Jacksonville Bancorp Inc. 1 11 14 Jacobs Engr. Group Inc. Com. 11 517 727 Jos. A. Bank Clothiers Inc. 4 24 31 Journal Register Co. Com. 7 125 152 K2 Inc. Com. 27 238 199 Kaman Corp. CL A 7 74 108 Kankakee Bancorp Inc. 1 11 12 Kansas City Life Ins. Co. 2 68 89 Keithley Instrs. Inc. Com. 8 141 135 Kellwood Co. 3 76 66 Kelly Svcs. Inc. CL A 11 291 243 Kemet Corp. Com. 41 749 739 Kendle Intl. Inc. 7 126 149 Kennametal Inc. Com. 35 1,024 1,417 Kewaunee Scientific Corp. 1 5 7 Keystone Ppty. Tr. Corp. Com. 3 35 38 Kforce Inc. Com. 4 26 27 Kimball Intl. Inc. CL B 15 305 230 Kindred Healthcare Inc. Com. 3 139 153 Knight Ridder Inc. 54 1,838 3,539
45 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Knightsbridge Tankers Ltd. Com. 8 159 123 Kopin Corp. 2 21 21 Korn Ferry Intl. Com. New 2 15 18 Kulicke & Soffa Inds. Inc. 26 405 471 LTX Corp. 2 25 43 Lafarge North America Inc. 22 785 824 Lakeland Inds. Inc. 2 9 15 Lakes Gaming Inc. Com. 3 24 17 Lam Resh Corp. Com. 14 247 338 Lamar Advertising Co. CL A 24 733 996 Lamson & Sessions Co. 15 91 77 Landamerica Finl. Group Inc. Com. 16 526 457 Landry's Restaurants Inc. 19 151 365 Landstar Sys. Inc. Com. 3 161 218 Lawson Software Com. 10 151 160 Layne Christensen Company 1 1 1 Leap Wireless Intl. Inc. Com. 23 388 477 Lear Corp. Com. 13 443 507 Learning Tree Int'l. Inc. 12 254 332 Lecroy Corp. Com. 20 342 392 Lennar Corp. Com 15 615 719 Lennox Int'l. Inc. Com. 36 462 358 Lexicon Genetics Inc. Com. 15 188 173 Lifepoint Hosps. Inc. Com. 9 312 322 Lifetime Hoan Corp. 7 49 43 Lincoln Elec. Hldgs. Inc. Com. 19 350 488 Linens N Things Inc. Com. 13 329 327 Liqui Box Corp. 2 106 101 Liz Claiborne Inc. Com. 24 934 1,170 Lone Star Steakhouse Saloon 4 42 55 Lone Star Technologies Inc. 7 157 133 Longs Drug Stores Corp. Com. 18 463 420 Lubrizol Corp. 24 645 846 Lufkin Inds. Inc. Com. 1 26 27 Lydall Inc. 6 56 59 MAF Bancorp Inc. 10 185 307
46 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) MCSI Inc. Com. 7 159 159 MKS Instrs. Inc. 26 464 706 MSC Indl. Direct Inc. CL A 41 408 829 MTS Sys. Corp. 13 174 141 Macdermid Inc. 32 639 533 Macerich Co. Com. 4 84 111 Mack Cali Rlty. Corp. Com. 32 881 996 Macrovision Corp. Com. 26 1,244 960 Macromedia Inc. Com. 2 34 36 Magellan Health Services Inc. 7 86 40 Magnetek Inc. Com. 7 74 64 Maine Pub. Svc. Co. 1 10 18 Manugistics Group Inc. 17 475 371 Markel Holdings 1 240 233 Marriott Intl. Inc. New CL A 76 2,178 3,127 Marten Trans. LTD Com. 1 5 7 Massbank Corp. Reading Mass. Com. 1 31 39 Maxim Integrated Prods. Inc. Com. 9 519 513 Maxtor Corp. Com. New 58 489 382 Maxwell Technologies Inc. 1 14 9 Maverick Tube Corp. Com. 9 117 113 Mcdata Corp. CL A 6 102 138 Mcdermott Intl. Inc. Com. 51 566 632 Measurement Specialties Inc. 2 20 16 Media Gen. Inc. CL A 12 528 618 Mediacom Communications Corp. CL A 25 360 450 Medicis Pharmaceutical Corp. CL A New Com. 5 280 338 Medimmune Inc. Com. 21 958 1,009 Medstone Intl. Inc. 2 15 9 Mentor Corp. Minn. Com. 10 233 276 Mercury Interactive Corp. 12 794 419 Meredith Corp. Com. 8 240 293 Mesa Labs Inc. 3 15 16 Mestek Inc. 1 17 26
47 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Metris Cos. Inc. 28 451 751 Metro One Telecommunications Inc. 14 391 459 Mettler-Toledo Intl. Inc. 8 354 430 Michaels Stores Inc. Com. 37 693 1,225 Micrel Inc. 36 815 994 Micromuse Inc. 26 774 389 Microtune Inc. Del. CL Com. 7 155 166 Mid Atlantic Med. Svcs. Inc. Com. 11 178 249 Millennium Pharmaceuticals Inc. 25 810 641 Mine Safety Appliances Co. 9 206 367 Minerals Technologies Inc. Com. 21 798 977 Minuteman Intl. Inc. 2 22 19 Modis Prof. Svcs. Inc. Com. 45 337 349 Molex Inc. CL A 27 670 732 Monro Muffler Brake Inc. 1 2 3 Movado Group Inc. Com. 9 127 175 Movie Gallery Inc. Com. 2 4 37 Mueller Inds. Inc. Com. 27 595 905 Mutilink Technology Corp. CL A 17 169 112 Mylan Labs Inc. PA Com. 28 658 1,050 Myriad Genetics Inc. 2 196 128 NBTY Inc. 50 300 578 NCH Corp. 1 43 47 NCO Group Inc. 18 425 411 NUI Corp. New Com. 1 34 29 Nara Bancorp Inc. Com. 2 38 36 Nashua Corp. 2 14 10 Natco Group Inc. CL A 1 3 3 National Beverage Corp. Com. 1 8 10 National Home Health Care Corp. 3 18 40 National-Oilwell Inc. 27 733 564 National Westn. Life Ins. Co. 2 143 177 Navigant Int'l. Inc. Com. 1 15 15 Navistar Int'l. Corp. New Com. 5 111 204
48 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Ndchealth Corp. Com. 24 562 842 Nelson Thomas Inc. 12 143 135 Netiq Corp. Com. 6 192 211 New Brunswick Scientific Inc. 3 11 14 New Horizons Worldwide Inc. Com. 23 327 269 Newark Homes Corp. Com. 3 35 38 Newpark Res. Inc. New 103 1,036 853 Newport Corp. Com. 10 178 202 Next Health Inc. 3 15 17 99 Cents Only Stores 7 231 270 Noble Intl. Ltd. 1 1 1 Noland Co. 2 37 55 Nortech Sys. Inc. 2 13 10 North Cent Bancshares Inc. 1 11 10 Northeast Ind. Bancorp Inc. Com. 1 7 7 Northeast Utils. Com. 48 929 846 Northern Technologies Intl. Corp. 1 3 3 Novellus Sys. Inc. 20 359 814 Numerical Tech Inc. Com. 9 236 337 Nyfix Inc. Com. 16 332 331 O M Group Inc. Com. 1 55 59 OSI Pharmaceuticals Inc. 4 191 184 Oakley Inc. Com. 9 152 151 Oceaneering Int'l. Inc. Com. 7 138 168 Ocular Sciences Inc. Com. 8 172 195 Odysey Healthcare Inc. Com. 5 85 114 Odyssey Re. Hldgs. Corp. Com. 5 94 89 Office Depot Inc. Com. 26 262 489 Offshore Logistics Inc. Com. 23 406 412 Oglebay Norton Co. 1 11 11 Old Dominion Fght. Lines Inc. 1 3 4 Olin Corp. Com. 6 98 97 Omnova Solutions Inc. Com. 81 635 579 Oneok Inc. New Com. 4 87 71 Openwave Sys. Inc. 12 475 114 Opinion Resh Corp. 4 25 24
49 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Optimal Robotics Corp. CL A New 12 355 442 Option Care Inc. 9 135 172 O'Reilly Automotive Inc. 29 605 1,082 Orthodontic Ctrs. Amer. Inc. Com. 45 1,154 1,447 Oshkosh Truck Corp. CL B 9 340 446 Outlook Group Corp. 3 15 14 Overture Svcs. Inc. Com. 20 394 722 Oxford Inds. Inc. Com. 5 87 110 P & F Inds. Inc. CL A New 3 23 20 P A M Transn. Svcs. Inc. 6 54 75 PFF Bancorp Inc. Com. 1 7 11 PMA Capital Corp. CL A Com. 9 178 170 PSS World Med. Unc. Com. 2 10 19 Pacificare Health Sys. Inc. Del. 1 9 6 Pactiv Corp. Com. 25 440 442 Panamerican Beverage Inc. CL A 31 490 464 Pan Pac Retail PPTYS Inc. Com. 4 84 124 Paradigm Geophysical Ltd.-Ord. 1 1 1 Parexel Intl. Corp. 18 263 249 Parker Drilling Co. Com. 3 8 9 Pathmark Stores Inc. New Com. 40 745 976 Patina Oil & Gas Corp. 9 245 260 Paxar Corp. 20 174 284 Peets Coffee & Tea Inc. Com. 10 82 112 Pegasus Solutions Inc. Com. 7 84 98 Pemstar Inc. Com. 6 68 72 Penn. Engr. & Mgr. Corp. Non-Vtg. 15 177 250 Pentair Inc. Com. 33 1,137 1,215 Peoples Banctrust Inc. Com. 2 27 24 Peregrine Sys. Inc. Com. 25 505 342 Perot Sys. Corp. CDT CL A 17 244 346 Perrigo Co. Com. 49 329 601 Pharmaceutical Res. Inc. 6 213 204 Phoenix Technology Ltd. Com. 17 175 205 Photon Dynamics Inc. Com. 7 147 294
50 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Pioneer Nat. Res. Co. 200 4,429 3,890 Pioneer Standard Electrs. Inc. 23 236 287 Pittston Co. Brinks Group Com. 4 69 80 Plantronics Inc. 10 200 255 Plum Creek Timber Co. Inc. Com. 178 2,701 5,111 Polycom Inc. 27 846 978 Polyone Corp. Com. 41 427 433 Pomeroy Computer Res. Inc. Com. 4 79 60 Powerwave Technologies Inc. Com. 55 815 991 Pre Paid Legal Svcs. Inc. Com. 46 954 1,012 Prentiss PPTYS TR Sh. Ben. Int. Com. 12 264 340 Pride Int'l. Inc. Com. 37 509 560 Prime Hospitality Corp. Com. 38 370 429 Priority Healthcare Corp. B 9 234 304 Profit Recovery Group Int'l. Inc. 52 377 438 Proquest Co. Com. 22 553 763 Provident Finl. Group Inc. Com. 4 98 103 Public Svc. Co. N. Mex. Com. 16 355 457 Quaker City Bancorp Inc. Com. 2 28 67 Quaker Chem. Corp. Com. 9 122 185 Quaker Fabric Corp. New 1 4 7 Quanex Corp. 13 328 359 Quantum Corp. DSSG Com. 6 70 59 Quest Software Inc. Com. 32 777 748 Quidel Corp. 1 3 4 Qunitiles Transnational Corp. Com. 47 861 755 R G C Res. Inc. Com. 1 27 28 Radian Group Inc. 20 578 850 Radio One Inc. CL A 17 260 325 Radio One Inc. CL D Non-Vtg. 53 830 978 Raindance Communications Inc. Com. 27 176 155 Raymond James Fin'l. Inc. Com. 13 222 447 Read Rite Corp. Com. 147 1,033 994 Remec Inc. Com. 7 64 75
51 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Renaissancere Holdings Ltd. 1 11 29 Rent A Ctr. Inc. New Com. 7 162 249 Republic Bancshares Inc. 3 45 41 Republic Bancorp Inc. Com. 10 82 132 Resmed Inc. 2 109 112 Resources Connection Inc. Com. 5 136 134 Respironics Inc. Com. 16 307 571 Retek Inc. Com. 50 1,395 1,573 Rexhall Inds. Inc. 2 11 14 Reynolds & Reynolds Co. CL A 35 574 857 Roadway Corporation 3 60 96 Roper Inds. Inc. New Com. 3 145 152 Rowan Cos. Inc. Com. 32 569 612 Royal Appliance Mfg. Co. 1 2 1 Royal Caribbean Cruises Ltd. 70 1,150 1,156 Ruby Tuesday Inc. 13 235 272 Ruddick Corp. Com. 15 196 233 Rudolph Technologies Inc. Com. 3 106 96 Rural Cellular Corp. CL A 6 217 135 Russ Berrie & Co. Inc. Com. 9 187 252 Russell Corp. 22 344 324 Ryans Family Steak Houses Inc. Com. 27 221 560 Ryerson Tull Inc. Com. 9 100 98 SL Green Realty Corp. 16 437 497 ST Frances Cap. Corp. Com. 3 42 66 Saks Inc. Com. 85 1,199 842 Sanderson Farms Inc. 1 8 13 Sanfilippo John B. & Son Inc. 4 13 22 Sangamo Biosciences Inc. Com. 21 466 168 Santos LTD Sponsored ADR 8 91 94 Sapient Corp. 14 213 110 Scana Corp. New Com. 1 13 14 Schlotzskys Inc. Com. 4 23 27 Scholastic Corp. Com. 6 286 320 Schuler Homes Inc. 14 141 276
52 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Schulman A. Inc. Com. 1 1 1 Scios Inc. 8 169 188 Seaboard Corp. Del. 1 18 33 Seacor Smit Inc. Com. 4 196 182 Security Cap. Group Inc. CL B 27 517 685 Seebeyond Technology Corp. Com. 20 297 196 Select Med. Corp. OC Com. 7 103 107 Selectica Inc. Del. Com. 33 533 207 Semtech Corp. 27 791 1,008 Sensient Technologies Corp. Com. 60 1,075 1,269 Service Corp. Intl. Com. 74 462 368 Service Master Co. Com. 245 2,560 3,403 Sherwin Williams Co. Com. 33 746 909 Siebel Sys. Inc. 27 1,070 769 Silicon Image Inc. Com. 18 222 71 Silicon Valley Bancshares Com. 21 483 580 Simplex Solutions Inc. Com. 1 2 3 Skillsoft Corp. Com. 6 179 160 Skyline Corp. 3 91 108 Smartforce Pub. Ltd. Co. Sponsored ADR 39 1,051 965 Smithfield Foods Inc. Com. 13 169 284 Smtek Intl. Inc. Com. New 1 1 1 Sola Intl. Inc. Com. 18 276 350 Sonesta Intl. Hotel Corp. 2 15 11 Sonic Corp. 6 160 233 Sonicwall Inc. Com. 15 269 281 Sonoco Prods. Co. 2 51 53 Sothebys Hldgs. Inc. CL A Ltd. 25 460 408 Sonus Networks Inc. Com. 16 316 74 Southern Mo. Bancorp Inc. Com. 1 10 11 Sovereign Bancorp Inc. Com. 16 180 195 Spacelabs Med. Inc. Com. 5 101 59 Spanish Broadcasting Sys. Inc. CL A 30 249 291
53 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Spartan Stores Inc. Co. 4 49 50 Sparton Corp. 2 15 14 Speedway Motorsports Inc. Com. 22 566 563 Spiegel Inc. CL A Non-vtg 31 259 141 Spinnaker Expl. Co. Com. 6 279 266 Sport Chalet Inc. 3 8 26 SS+C Technologies Inc. 2 17 17 Standard Mgmt. Corp. 2 15 14 Standard Microsystems Corp. 2 39 39 Standex Intl. Corp. Com. 1 29 26 Starrett L. S. Co. CL A 4 100 76 Startek Inc. Com. 44 1,174 832 Staten Is. Bancorp Inc. Com. 17 159 272 Steel Technologies Inc. 1 5 5 Stepan Chem. Co. Com. 1 2 2 Steris Corp. Com. 51 748 963 Sterling Finl. Corp/Spokane 4 51 57 Stewart Information Svcs. Corp. 5 87 94 Storage Technology Corp. Com. 50 586 1,032 Stratos Lightwave Inc. Com. 13 72 84 Stride Rite Corp. Com. 5 29 31 Student Ln. Corp. 3 191 274 Sungard Data Sys. Inc. Com. 39 943 1,135 Sun Intl. Hotels Ltd. 1 23 22 Sunoco Inc. Com. 36 973 1,346 Sunrise Assisted Living Inc. Com. 9 273 271 Superior Finl. Corp. Del. Com. 2 32 36 Superior Uniform Group Inc. Com. 3 38 28 Suprema Specialties Inc. 2 14 25 Sybase Inc. Com. 34 566 538 Sykes Enterprises Inc. Com. 16 109 157 Sylvan Learning Sys. Inc. Com. 17 456 383 Systems & Computer Technology 27 334 295 TBC Corp. 14 83 185 THQ Inc. 14 674 688 Taro Pharmaceuticals Indus. 6 242 244
54 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Technology Solutions Co. 27 139 59 Tecumseh Prods. Co. CL B Com. 6 289 271 Teledyne Technologies Inc. Com. 13 188 222 Teleflex Inc. Com. 28 1,118 1,326 Teradyne Inc. Com. 12 610 373 Tetra Technologies Inc. Del. Com. 9 209 203 Thomas Group Inc. Com. 3 15 6 Thoratec Corp. Com. New 11 206 191 Thornburg Mortgage Inc. Com. 9 152 173 Tibco Software Inc. Com. 32 1,575 483 Titan Corp. 5 102 127 Toll Bros. Inc. Com. 8 273 363 Tractor Supply Co. 3 47 99 Trans World Entmt. Corp. 6 53 49 Transkaryotic Therapies Inc. 6 239 267 Transwitch Corp. 8 283 39 Triad Hosps. Inc. Com. 7 200 212 Tricon Global Restaurants Inc. Com. 76 2,614 3,742 Trimeris Inc. Com. 3 136 150 Trizec Hahn Corp. Sub Vtg. 115 1,589 1,804 Tweeter Home Entmt. Grp. Inc. Com. 8 193 220 UICI 29 255 366 UIL Hldg. Corp. Com. 1 25 26 UMB Finl. Corp. 11 340 432 U S Liquids Inc. Com. 22 111 120 USEC Inc. Com. 31 279 226 US Oncology Inc. Com. 117 880 944 United Fire & Casualty 1 27 29 United Retail Group Inc. 1 2 1 United Stationers Inc. Com. 11 297 380 Utah Med. Prods. Inc. 1 2 3 Valassis Communications Inc. Com. 6 181 217 Valero Energy Corp. Com. New Com. 12 339 458 Valley Nat'l. Bancorp 13 328 434 Varco International Inc. Com. 55 1,020 840
55 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Varian Med. Sys. FNC Com. 18 866 1,275 Varian Inc. Com. 17 528 559 Vastera Inc. OC Com. 3 47 43 Vector Group Ltd. Com. 10 299 329 Veeco Instrs. Inc. Del. Com. 5 164 179 Ventiv Health Inc. Com. 31 356 127 Verity Inc. Com. 7 138 148 Verisign Inc. Com. 6 627 249 Veritas DGC Inc. Com. 5 72 84 Vertex Pharmaceuticals Inc. Com. 3 121 66 Viad Corp. Com. 45 1,000 1,062 Viasat Inc. Com. 10 158 149 Video Display Corp. 2 11 12 Village Super Mkt. Inc. CL A New 1 12 29 Vishay Intertechnology Inc. 54 1,031 1,056 WFS Financial Inc. 9 145 223 WH Energy Svcs. Inc. Com. 2 41 40 Wabash Natl. Corp. Com. 13 134 99 Wabtec Com. 9 130 105 Waddell & Reed Finl. Inc. CL A 10 290 315 Wainwright Bk. & TR Co. Boston Mass 2 13 13 Waste Mgmt. Inc. Del. Com. 130 3,477 4,209 Water Pik Technologies Inc. Com. 6 53 55 Webex Commns Inc. Com. 27 537 694 Webster Fin'l. Corp. Waterbury, CT 20 470 638 Weight Watchers Intl. Inc. Com. New 1 24 33 Wellman Inc. Com. 13 216 190 Wells Finl. Corp. 1 9 11 Westcorp 4 59 67 Westwood One Inc. Com. 19 507 565 Wet Seal Inc. CL A Com. 2 40 53 Whole Foods Mkt. Inc. 35 602 1,523 Wickes Inc. Com. 4 17 12
56 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- ROGERSCASEY SMALLER STOCK FUND (Cont'd) Common Stocks (Cont'd) Wiley John & Sons Inc. CL A 13 221 309 Willbros Group Inc. 3 43 52 Williams Sonoma Inc. Com. 36 999 1,564 Willis Lease Fin. Corp. 8 50 33 Winston Hotels Inc. Com. 7 80 58 Wright Med. Group Inc. Com. 7 96 117 XTO Energy Inc. Com. 15 236 247 Xicor Inc. 30 217 358 Yellow Corp. Com. 47 890 1,209 York Intl Corp. New Com. 8 206 298 Zale Corp. New Com. 1 20 21 Zebra Technologies Corp. CL A 5 201 278 Zoran Corp. 5 103 150 -------- -------- Total $272,161 $314,375 ======== ======== Percent of Net Assets 5.8% U.S. Government Securities 300 $ 299 $ 299 ======== ======== Percent of Net Assets 0.0% Common/Collective Trusts TBC Inc. Daily Liquidity Fund $17,158 $ 17,158 $ 17,158 ======== ======== Percent of Net Assets 0.3% MFS INSTITUTIONAL RESEARCH FUND MFS Institutional Tr Research Fund 1,097 $ 15,513 $ 10,474 ======== ======== Percent of Net Assets 0.2% PUTNAM VOYAGER FUND Putnam Voyager Fund Inc. CL 2,593 $ 65,447 $ 46,626 ======== ======== Percent of Net Assets 0.9%
57 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- COHEN & STEERS REALTY FUND Cohen & Steers Realty Shares Fund Com. 310 $ 13,724 $ 13,759 ======== ======== Percent of Net Assets 0.3% FIRST EAGLE FUND OF AMERICA First Eagle Fund Amer. Inc. Com. 1,147 $ 24,643 $ 24,817 ======== ======== Percent of Net Assets 0.5% T. ROWE PRICE BLUE CHIP GROWTH FUND T. Rowe Price Blue Chip Growth Fund Inc. Com. 1,746 $ 52,611 $ 51,192 ======== ======== Percent of Net Assets 0.9% T. ROWE PRICE NEW ERA FUND T. Rowe Price New Era Fund Inc. Com. 294 $ 6,574 $ 6,559 ======== ======== Percent of Net Assets 0.1% T. ROWE PRICE SCIENCE & TECHNOLOGY FUND T. Rowe Price Science & Tech. Fund Inc. Cap. Stk. 5,756 $225,989 $123,012 ======== ======== Percent of Net Assets 2.3%
58 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- MORGAN STANLEY INSTITUTIONAL INT'L EQUITY FUND Morgan Stanley Institutional Fund Inc. Intl. Equity Portfolio CL 3,158 $ 58,689 $ 49,078 ======== ======== Percent of Net Assets 0.9% RUSSELL INTERNATIONAL STOCK FUND Common/Collective Trusts Aim Int'l. CL Fund 2,164 $ 32,804 $ 24,928 ======== ======== Percent of Net Assets 0.5% ARTISAN INTERNATIONAL FUND Artisan Funds Inc. International Fund 581 $ 12,112 $ 10,622 ======== ======== Percent of Net Assets 0.2% STATE STREET EMERGING MARKETS INDEX FUND Kodak Emerging Markets Index 390 $ 2,654 $ 2,530 ======== ======== Percent of Net Assets 0.0% TEMPLETON DEVELOPING MARKETS FUND Templeton Developing Mkts. Tr 449 $ 5,084 $ 4,407 ======== ======== Percent of Net Assets 0.1%
59 Schedule I (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN SCHEDULE OF ASSETS (HELD AT END OF YEAR) December 30, 2001 (in thousands) Principal Amount or Fair Description Shares/Units Cost Value ----------- ------------ ---- -------- MATTHEWS PACIFIC TIGER FUND I Matthews Int'l Funds Pacific Tiger Fund CL 572 $ 4,669 $ 4,994 ======== ======== Percent of Net Assets 0.1% SCUDDER LATIN AMERICA FUND Scudder Int'l. Fund Inc. Latin Amer. Fund 213 $ 4,761 $ 4,230 ======== ======== Percent of Net Assets 0.1% Maturity Interest Contract Description Dates Rates Value ----------- -------- -------- -------- PARTICIPANT LOANS Participant Loans 2001-2005 5.0%-11.5% $ 65,369 ======== Percent of Net Assets 1.2% Total Plan Investments $5,453,756 ==========
60 Schedule II EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2001 (in thousands) 5 to 8 Year 8 to 20 Year 20 or More Lehman Brothers S&P 500 Large Time Time Year Time Fixed Aggregate Stock Horizon Fund Horizon Fund Horizon Fund Income Fund Bond Index Fund Index Fund ------------ ------------ ------------ ----------- --------------- ------------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common and preferred stocks Mutual funds Interest in common/collective trusts (pooled) funds $ 22,016 $37,321 $32,857 $ 28,903 $23,207 $271,649 U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts 8,224 5,215 3,566,135 Dividends/Interest receivable 48 30 Participants' contributions receivable 29 52 Receivables for securities sold ------- ------- ------- ---------- ------- -------- Total assets 30,288 42,566 32,857 3,595,067 23,259 271,649 ------- ------- ------- ---------- ------- -------- LIABILITIES Payable for securities purchased Accrued expenses 3 4 4 176 3 18 Transfers among funds 109 17 98 (2,172) 40 175 ------- ------- ------- ---------- ------- -------- Total liabilities/transfers 112 21 102 (1,996) 43 193 ------- ------- ------- ---------- ------- -------- Net assets available for benefits $30,176 $42,545 $32,755 $3,597,063 $23,216 $271,456 ======= ======= ======= ========== ======= ========
61 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2001 (in thousands) Non-U.S. Russell 2000 Stock Small Stock Kodak PIMCO Total MSIF High Fidelity Index Fund Index Fund Stock Fund Return Fund Yield Fund Puritan Fund ---------- ------------ ---------- ----------- ---------- ------------ ASSETS Investments at Fair Value: Eastman Kodak Company common stock $143,882 Other common and preferred stocks Mutual funds $30,278 $13,168 $ 69,960 Interest in common/collective trusts (pooled) funds $5,046 $32,343 4,373 U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable 8 117 Participants' contributions receivable Receivables for securities sold ------ ------- -------- ------- ------- -------- Total assets 5,046 32,343 148,263 30,395 13,168 69,960 ------ ------- -------- ------- ------- -------- LIABILITIES Payable for securities purchased Accrued expenses 1 2 8 2 1 3 Transfers among funds (25) (239) 131 655 233 57 ------ ------- -------- ------- ------- -------- Total liabilities/transfers (24) (237) 139 657 234 60 ------ ------- -------- ------- ------- -------- Net assets available for benefits $5,070 $32,580 $148,124 $29,738 $12,934 $ 69,900 ====== ======= ======== ======= ======= ========
62 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2001 (in thousands) T. Rowe Price Fidelity Growth Putnam Putnam T. Rowe Price Equity and Investors Vista PBHG Small-Cap Income Fund Income Fund Fund Fund Growth Fund Value Fund ------------- --------------- --------- -------- ----------- ------------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common and preferred stocks Mutual funds $43,269 $59,682 $46,280 $42,323 $34,561 $61,021 Interest in common/collective trusts (pooled) funds U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable Participants' contributions receivable Receivables for securities sold ------- ------- ------- ------- ------- ------- Total assets 43,269 59,682 46,280 42,323 34,561 61,021 ------- ------- ------- ------- ------- ------- LIABILITIES Payable for securities purchased Accrued expenses 2 3 2 2 2 3 Transfers among funds (24) 18 (21) 155 (64) (433) ------- ------- ------- ------- ------- ------- Total liabilities/transfers (22) 21 (19) 157 (62) (430) ------- ------- ------- ------- ------- ------- Net assets available for benefits $43,291 $59,661 $46,299 $42,166 $34,623 $61,451 ======= ======= ======= ======= ======= =======
63 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2001 (in thousands) Putnam OTC MSIF RogersCasey MFS Putnam Skyline Special & Emerging Value Smaller Institutional Voyager Equity Fund Growth Fund Fund Stock Fund Research Fund Fund --------------- ----------- ------- ----------- ------------- ------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common and preferred stocks $314,384 Mutual funds $25,639 $35,019 $36,947 $10,474 $46,626 Interest in common/collective trusts (pooled) funds 17,158 U.S. government securities 299 Loans to participants 65 Investments at Contract Value: Group annuity contracts Dividends/Interest receivable 196 Participants' contributions receivable Receivables for securities sold 679 ------- ------- ------- -------- ------- ------- Total assets 25,639 35,019 36,947 332,781 10,474 46,626 ------- ------- ------- -------- ------- ------- LIABILITIES Payable for securities purchased 1,162 Accrued expenses 1 2 2 193 1 2 Transfers among funds 27 (153) (7) (77) 2 176 ------- ------- ------- -------- ------- ------- Total liabilities/transfers 28 (151) (5) 1,278 3 178 ------- ------- ------- -------- ------- ------- Net assets available for benefits $25,611 $35,170 $36,952 $331,503 $10,471 $46,448 ======= ======= ======= ======== ======= =======
64 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2001 (in thousands) Cohen T. Rowe Price T. Rowe Price & Steers First Eagle Blue Chip T. Rowe Price Science & Realty Fund Fund of America Growth Fund New Era Fund Technology Fund ----------- --------------- ------------- ------------- --------------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common and preferred stocks Mutual funds $13,759 $24,817 $51,192 $6,559 $123,012 Interest in common/collective trusts (pooled) funds U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable Participants' contributions receivable Receivables for securities sold ------- ------- ------- ------ -------- Total assets 13,759 24,817 51,192 6,559 123,012 ------- ------- ------- ------ -------- LIABILITIES Payable for securities purchased Accrued expenses 1 1 2 6 Transfers among funds 489 (18) 14 (27) 30 ------- ------- ------- ------ -------- Total liabilities/transfers 490 (17) 16 (27) 36 ------- ------- ------- ------ -------- Net assets available for benefits $13,269 $24,834 $51,176 $6,586 $122,976 ======= ======= ======= ====== ========
65 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2001 (in thousands) Morgan Stanley Russell Acorn Artisan State Street Institutional International International International Emerging Mkts. Int'l. Equity Fund Stock Fund Fund Fund Index Fund ------------------ ------------- ------------- ------------- ------------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common and preferred stocks Mutual funds $49,078 $10,622 Interest in common/collective trusts (pooled) funds $24,928 $2,530 U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable Participants' contributions receivable Receivables for securities sold ------- ------- ------- ------- ------ Total assets 49,078 24,928 0 10,622 2,530 ------- ------- ------- ------- ------ LIABILITIES Payable for securities purchased Accrued expenses 2 1 1 1 Transfers among funds 22 15 10 219 ------- ------- ------- ------- ------ Total liabilities/transfers 24 16 0 11 220 ------- ------- ------- ------- ------ Net assets available for benefits $49,054 $24,912 $ 0 $10,611 $2,310 ======= ======= ======= ======= ======
66 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2001 (in thousands) Templeton Matthews Developing Pacific Scudder Latin Loan TOTAL Markets Fund Tiger Fund I America Fund Fund ALL FUNDS ------------ ------------ ------------- -------- ---------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock $ 143,882 Other common and preferred stocks 314,384 Mutual funds $4,407 $4,994 $4,230 847,917 Interest in common/collective trusts (pooled) funds 502,331 U.S. government securities 299 Loans to participants $65,304 65,369 Investments at Contract Value: Group annuity contracts 3,579,574 Dividends/Interest receivable 399 Participants' contributions receivable 81 Receivables for securities sold 679 ------ ------ ------ ------- ---------- Total assets 4,407 4,994 4,230 65,304 5,454,915 ------ ------ ------ ------- ---------- LIABILITIES Payable for securities purchased 1,162 Accrued expenses 455 Transfers among funds 182 421 (35) 0 ------ ------ ------ ------- ---------- Total liabilities/transfers 182 421 (35) 0 1,617 ------ ------ ------ ------- ---------- Net assets available for benefits $4,225 $4,573 $4,265 $65,304 $5,453,298 ====== ====== ====== ======= ==========
67 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2000 (in thousands) 5 to 8 Year 8 to 20 Year 20 or More Lehman Brothers S&P 500 Large Time Time Year Time Fixed Aggregate Stock Horizon Fund Horizon Fund Horizon Fund Income Fund Bond Index Fund Index Fund ------------ ------------ ------------ ----------- --------------- ------------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock $ 342 $ 1,016 $ 1,093 Other common stocks Mutual funds Interest in common/collective trusts (pooled) funds 27,851 49,607 40,466 $ 10,154 $10,617 $336,278 U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts 10,460 7,051 3,310,789 Dividends/Interest receivable 66 54 13 Participants' contributions receivable 56 54 Receivables for securities sold ------- ------- ------- ---------- ------- -------- Total assets 38,719 57,728 41,572 3,320,999 10,617 336,332 ------- ------- ------- ---------- ------- -------- LIABILITIES Pending loans to participants 24 4 Distributions payable to participants 18 45 14 3,801 7 120 Payable for securities purchased Accrued expenses 2 4 4 14 3 15 Transfers among funds (31) 147 62 (107) 327 152 ------- ------- ------- ---------- ------- -------- Total liabilities/transfers (11) 196 80 3,732 337 291 ------- ------- ------- ---------- ------- -------- Net assets available for benefits $38,730 $57,532 $41,492 $3,317,267 $10,280 $336,041 ======= ======= ======= ========== ======= ========
68 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2000 (in thousands) Non-U.S. Russell 2000 Stock Small Stock Kodak PIMCO Total MAS High Fidelity Index Fund Index Fund Stock Fund Return Fund Yield Fund Puritan Fund ---------- ------------ ---------- ----------- ---------- ------------ ASSETS Investments at Fair Value: Eastman Kodak Company common stock $208,174 Other common stocks Mutual funds $18,044 $10,779 $ 72,714 Interest in common/collective trusts (pooled) funds $6,818 $33,243 7,250 U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable 2,442 Participants' contributions receivable 50 15 Receivables for securities sold ------ ------- -------- ------- ------- -------- Total assets 6,818 33,293 217,866 18,044 10,779 72,729 ------ ------- -------- ------- ------- -------- LIABILITIES Pending loans to participants 2 Distributions payable to participants 3 12 170 6 3 29 Payable for securities purchased Accrued expenses 1 1 1 Transfers among funds (1) (358) 142 (7,444) (2,200) 5 ------ ------- -------- ------- ------- -------- Total liabilities/transfers 3 (345) 315 (7,438) (2,197) 34 ------ ------- -------- ------- ------- -------- Net assets available for benefits $6,815 $33,638 $217,551 $25,482 $12,976 $ 72,695 ====== ======= ======== ======= ======= ========
69 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2000 (in thousands) T. Rowe Price Fidelity Growth Putnam Putnam T. Rowe Price Equity and Investors Vista PBHG Small-Cap Income Fund Income Fund Fund Fund Growth Fund Value Fund ------------- --------------- --------- -------- ----------- ------------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common stocks Mutual funds $31,666 $65,002 $73,482 $74,129 $70,153 $31,931 Interest in common/collective trusts (pooled) funds U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable Participants' contributions receivable 82 10 20 37 Receivables for securities sold ------- ------- ------- ------- ------- ------- Total assets 31,666 65,084 73,492 74,149 70,190 31,931 ------- ------- ------- ------- ------- ------- LIABILITIES Pending loans to participants Distributions payable to participants 5 27 31 12 10 4 Payable for securities purchased Accrued expenses Transfers among funds (130) 22 72 201 456 1,762 ------- ------- ------- ------- ------- ------- Total liabilities/transfers (125) 49 103 213 466 1,766 ------- ------- ------- ------- ------- ------- Net assets available for benefits $31,791 $65,035 $73,389 $73,936 $69,724 $30,165 ======= ======= ======= ======= ======= =======
70 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2000 (in thousands) Putnam OTC MAS RogersCasey MFS Putnam Skyline Special & Emerging Value Smaller Institutional Voyager Equity Fund Growth Fund Fund Stock Fund Research Fund Fund --------------- ----------- ------- ----------- ------------- ------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common stocks $326,839 Mutual funds $14,771 $78,880 $28,650 $15,453 $74,362 Interest in common/collective trusts (pooled) funds 10,787 U.S. government securities 246 Loans to participants 132 Investments at Contract Value: Group annuity contracts Dividends/Interest receivable 323 Participants' contributions receivable 25 5 Receivables for securities sold 1,449 ------- ------- ------- -------- ------- ------- Total assets 14,771 78,905 28,650 339,776 15,453 74,367 ------- ------- ------- -------- ------- ------- LIABILITIES Pending loans to participants 1 1 1 Distributions payable to participants 24 5 97 2 20 Payable for securities purchased 1,069 Accrued expenses 185 Transfers among funds (171) 7,677 (284) (58) (10) 48 ------- ------- ------- -------- ------- ------- Total liabilities/transfers (171) 7,702 (279) 1,294 (7) 68 ------- ------- ------- -------- ------- ------- Net assets available for benefits $14,942 $71,203 $28,929 $338,482 $15,460 $74,299 ======= ======= ======= ======== ======= =======
71 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2000 (in thousands) Cohen T. Rowe Price T. Rowe Price & Steers First Eagle Blue Chip T. Rowe Price Science & Realty Fund Fund of America Growth Fund New Era Fund Technology Fund ----------- --------------- ------------- ------------- --------------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common stocks Mutual funds $17,028 $15,834 $66,539 $6,982 $197,719 Interest in common/collective trusts (pooled) funds U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable Participants' contributions receivable 10 25 Receivables for securities sold ------- ------- ------- ------ -------- Total assets 17,028 15,834 66,549 6,982 197,744 ------- ------- ------- ------ -------- LIABILITIES Pending loans to participants 1 Distributions payable to participants 2 1 37 1 207 Payable for securities purchased Accrued expenses 1 Transfers among funds (219) (33) 41 (324) 156 ------- ------- ------- ------ -------- Total liabilities/transfers (217) (32) 78 (323) 365 ------- ------- ------- ------ -------- Net assets available for benefits $17,245 $15,866 $66,471 $7,305 $197,379 ======= ======= ======= ====== ========
72 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2000 (in thousands) Morgan Stanley Dean Witter Russell Acorn State Street Templeton Institutional International International Emerging Mkts. Developing Int'l. Equity Fund Stock Fund Fund Index Fund Markets Fund ------------------ ------------- ------------- -------------- ------------ ASSETS Investments at Fair Value: Eastman Kodak Company common stock Other common stocks Mutual funds $56,936 $20,317 $4,698 Interest in common/collective trusts (pooled) funds $35,404 $1,883 U.S. government securities Loans to participants Investments at Contract Value: Group annuity contracts Dividends/Interest receivable Participants' contributions receivable Receivables for securities sold ------- ------- ------- ------ ------ Total assets 56,936 35,404 20,317 1,883 4,698 ------- ------- ------- ------ ------ LIABILITIES Pending loans to participants 1 Distributions payable to participants 20 6 13 Payable for securities purchased Accrued expenses 6 Transfers among funds 18 (39) 94 2 8 ------- ------- ------- ------ ------ Total liabilities/transfers 39 (33) 107 8 8 ------- ------- ------- ------ ------ Net assets available for benefits $56,897 $35,437 $20,210 $1,875 $4,690 ======= ======= ======= ====== ======
73 Schedule II (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS December 30, 2000 (in thousands) Matthews Pacific Scudder Latin Loan TOTAL Tiger Fund I America Fund Fund ALL FUNDS ------------ ------------- -------- ---------- ASSETS Investments at Fair Value: Eastman Kodak Company common stock $ 210,625 Other common stocks 326,839 Mutual funds $ 3,407 $ 4,754 1,054,230 Interest in common/collective trusts (pooled) funds 570,358 U.S. government securities 246 Loans to participants $65,272 65,404 Investments at Contract Value: Group annuity contracts 3,328,300 Dividends/Interest receivable 2,898 Participants' contributions receivable 389 Receivables for securities sold 1,449 ------- ------- ------- ---------- Total assets 3,407 4,754 65,272 5,560,738 ------- ------- ------- ---------- LIABILITIES Pending loans to participants (35) 0 Distributions payable to participants 1 4,753 Payable for securities purchased 1,069 Accrued expenses 237 Transfers among funds 16 1 0 ------- ------- ------- ---------- Total liabilities/transfers 17 1 (35) 6,059 ------- ------- ------- ---------- Net assets available for benefits $ 3,390 $ 4,753 $65,307 $5,554,679 ======= ======= ======= ==========
74 Schedule III EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2001 (in thousands) 5 to 8 Year 8 to 20 Year 20 or More Lehman Brothers S&P 500 Large Time Time Year Time Fixed Aggregate Stock Horizon Fund Horizon Fund Horizon Fund Income Fund Bond Index Fund Index Fund ------------ ------------ ------------ ----------- --------------- ------------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 9 $ 25 Other dividends $ 29 Interest 681 514 67 $ 248,334 $ 33 $ 313 Net realized and unrealized gains (losses) from investments (1,004) (4,519) (4,716) 23,306 1,073 (37,175) Employer contributions 196 428 615 3,345 201 1,505 Participants' contributions 2,008 3,710 3,985 112,886 1,747 14,358 Transfers among funds (8,170) (12,842) (6,855) 125,195 11,453 (27,451) ------- -------- ------- ---------- ------- -------- Total Additions (6,280) (12,684) (6,875) 513,066 14,507 (48,450) ------- -------- ------- ---------- ------- -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (2,167) (2,115) (1,783) (232,618) (1,470) (15,663) Loans transfers, net (79) (138) (31) 651 (79) (311) Administrative expenses (28) (50) (48) (1,303) (22) (161) ------- -------- ------- ---------- ------- -------- Total Deductions 2,274 2,303 1,862 233,270 1,571 16,135 ------- -------- ------- ---------- ------- -------- (Decrease) increase in net assets (8,554) (14,987) (8,737) 279,796 12,936 (64,585) Net assets available for benefits at beginning of year 38,730 57,532 41,492 3,317,267 10,280 336,041 ------- -------- ------- ---------- ------- -------- Net assets available for benefits at end of year $30,176 $ 42,545 $32,755 $3,597,063 $23,216 $271,456 ======= ======== ======= ========== ======= ========
75 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2001 (in thousands) Non-U.S. Russell 2000 Stock Small Stock Kodak PIMCO Total MSIF High Fidelity Index Fund Index Fund Stock Fund Return Fund Yield Fund Puritan Fund ---------- ------------ ---------- ----------- ---------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 6,186 Other dividends $ 1,625 $ 1,515 $ 2,359 Interest $ 7 $ 41 537 35 11 75 Net realized and unrealized gains (losses) from investments (1,349) 774 (35,651) 427 (2,261) (3,124) Employer contributions 71 235 377 156 51 291 Participants' contributions 587 2,299 4,022 1,641 597 3,508 Transfers among funds (745) (2,844) (32,368) 2,512 892 (2,125) ------- ------- -------- ------- ------- ------- Total Additions (1,429) 505 (56,897) 6,396 805 984 ------- ------- -------- ------- ------- ------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (303) (1,412) (11,568) (2,057) (805) (3,611) Loans transfers, net (3) (127) (892) (71) (38) (142) Administrative expenses (10) (24) (70) (12) (4) (26) ------- ------- -------- ------- ------- ------- Total Deductions 316 1,563 12,530 2,140 847 3,779 ------- ------- -------- ------- ------- ------- (Decrease) increase in net assets (1,745) (1,058) (69,427) 4,256 (42) (2,795) Net assets available for benefits at beginning of year 6,815 33,638 217,551 25,482 12,976 72,695 ------- ------- -------- ------- ------- ------- Net assets available for benefits at end of year $ 5,070 $32,580 $148,124 $29,738 $12,934 $69,900 ======= ======= ======== ======= ======= =======
76 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2001 (in thousands) T. Rowe Price Fidelity Growth Putnam Putnam T. Rowe Price Equity and Investors Vista PBHG Small-Cap Income Fund Income Fund Fund Fund Growth Fund Value Fund ------------- --------------- --------- -------- ----------- ------------- ADDITIONS OF NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 603 $ 608 $ 435 Interest 43 62 $ 75 $ 59 $ 95 54 Net realized and unrealized gains (losses) from investments (18) (6,297) (16,518) (22,843) (21,143) 7,582 Employer contributions 193 398 361 353 379 239 Participants' contributions 2,092 3,749 3,255 3,133 2,974 2,478 Transfers among funds 11,005 (855) (11,683) (10,598) (15,767) 22,260 ------- ------- -------- -------- -------- ------- Total Additions 13,918 (2,335) (24,510) (29,896) (33,462) 33,048 ------- ------- -------- -------- -------- ------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (2,390) (2,962) (2,511) (1,828) (1,521) (1,617) Loans transfers, net (12) (55) (51) (30) (104) (126) Administrative expenses (16) (22) (18) (16) (14) (19) ------- ------- -------- -------- -------- ------- Total Deductions 2,418 3,039 2,580 1,874 1,639 1,762 ------- ------- -------- -------- -------- ------- Increase (decrease) in net assets 11,500 (5,374) (27,090) (31,770) (35,101) 31,286 Net assets available for benefits at beginning of year 31,791 65,035 73,389 73,936 69,724 30,165 ------- ------- -------- -------- -------- ------- Net assets available for benefits at end of year $43,291 $59,661 $ 46,299 $ 42,166 $ 34,623 $61,451 ======= ======= ======== ======== ======== =======
77 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2001 (in thousands) Putnam OTC MSIF RogersCasey MFS Putnam Skyline Special & Emerging Value Smaller Institutional Voyager Equity Fund Growth Fund Fund Stock Fund Research Fund Fund --------------- ----------- ------- ----------- ------------- ------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 509 $ 3,203 $ 101 $ 231 Interest $ 34 $ 122 44 939 13 69 Net realized and unrealized gains (losses) from investments 2,070 (31,528) 368 18,373 (3,305) (15,111) Employer contributions 113 465 197 434 83 402 Participants' contributions 1,119 3,750 2,030 6,655 973 3,368 Transfers among funds 7,731 (7,591) 6,567 (17,371) (2,322) (13,846) ------- -------- ------- -------- ------- -------- Total Additions 11,067 (34,782) 9,715 12,233 (4,457) (24,887) ------- -------- ------- -------- ------- -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (423) (1,321) (1,573) (15,913) (513) (2,923) Loans transfers, net 33 84 (105) (977) (15) (22) Administrative expenses (8) (14) (14) (2,322) (4) (19) ------- -------- ------- -------- ------- -------- Total Deductions 398 1,251 1,692 19,212 532 2,964 ------- -------- ------- -------- ------- -------- Increase (decrease) in net assets 10,669 (36,033) 8,023 (6,979) (4,989) (27,851) Net assets available for benefits at beginning of year 14,942 71,203 28,929 338,482 15,460 74,299 ------- -------- ------- -------- ------- -------- Net assets available for benefits at end of year $25,611 $ 35,170 $36,952 $331,503 $10,471 $ 46,448 ======= ======== ======= ======== ======= ========
78 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2001 (in thousands) Cohen T. Rowe Price T. Rowe Price & Steers First Eagle Blue Chip T. Rowe Price Science & Realty Fund Fund of America Growth Fund New Era Fund Technology Fund ----------- --------------- ------------- ------------- --------------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 693 $ 624 $ 74 Interest 26 23 $ 49 20 $ 254 Net realized and unrealized gains (losses) from investments (316) 648 (9,015) (893) (83,780) Employer contributions 101 115 439 75 1,159 Participants' contributions 732 1,066 3,270 573 9,382 Transfers among funds (4,007) 7,263 (7,584) 219 3,385 ------- ------- -------- ------ -------- Total Additions (2,771) 9,739 (12,841) 68 (69,600) ------- ------- -------- ------ -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (1,170) (697) (2,363) (774) (4,933) Loans transfers, net (29) (65) (72) (10) 177 Administrative expenses (6) (9) (19) (3) (47) ------- ------- -------- ------ -------- Total Deductions 1,205 771 2,454 787 4,803 ------- ------- -------- ------ -------- (Decrease) increase in net assets (3,976) 8,968 (15,295) (719) (74,403) Net assets available for benefits at beginning of year 17,245 15,866 66,471 7,305 197,379 ------- ------- -------- ------ -------- Net assets available for benefits at end of year $13,269 $24,834 $ 51,176 $6,586 $122,976 ======= ======= ======== ====== ========
79 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2001 (in thousands) Morgan Stanley Russell Acorn Artisan State Street Institutional International International International Emerging Mkts. Int'l. Equity Fund Stock Fund Fund Fund Index Fund ------------------ ------------- ------------- ------------- -------------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 1,028 $ 37 Interest 28 $ 24 3 $ 4 Net realized and unrealized gains (losses) from investments (6,958) (6,492) 718 (1,876) (66) Employer contributions 182 112 36 18 Participants' contributions 2,095 1,179 328 146 Transfers among funds (1,746) (4,131) $(20,928) 12,868 378 ------- -------- -------- ------- ------ Total Additions (5,371) (9,308) (20,210) 11,396 480 ------- -------- -------- ------- ------ DEDUCTIONS FROM NET ASSETS: Distributions to participants (2,403) (1,174) (778) (39) Loans transfers, net (51) (33) (3) 7 Administrative expenses (18) (10) (4) (13) ------- -------- -------- ------- ------ Total Deductions 2,472 1,217 0 785 45 ------- -------- -------- ------- ------ (Decrease) increase in net assets (7,843) (10,525) (20,210) 10,611 435 Net assets available for benefits at beginning of year 56,897 35,437 20,210 0 1,875 ------- -------- -------- ------- ------ Net assets available for benefits at end of year $49,054 $ 24,912 $ 0 $10,611 $2,310 ======= ======== ======== ======= ======
80 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2001 (in thousands) Templeton Matthews Developing Pacific Scudder Latin Loan TOTAL Markets Fund Tiger Fund I America Fund Fund ALL FUNDS ------------ ------------ ------------- -------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 6,220 Other dividends $ 48 $ 6 $ 68 13,796 Interest 6 7 7 252,708 Net realized and unrealized gains (losses) from investments (427) 317 (215) (260,944) Employer contributions 34 27 27 13,413 Participants' contributions 344 234 218 206,491 Transfers among funds (299) 854 (454) 0 ------ ------ ------ ------- ---------- Total Additions (294) 1,445 (349) 0 231,684 ------ ------ ------ ------- ---------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (179) (224) (132) (2,754) (328,687) Loans transfers, net 10 (37) (5) 2,751 0 Administrative expenses (2) (1) (2) (4,378) ------ ------ ------ ------- ---------- Total Deductions 171 262 139 3 333,065 ------ ------ ------ ------- ---------- (Decrease) increase in net assets (465) 1,183 (488) (3) (101,381) Net assets available for benefits at beginning of year 4,690 3,390 4,753 65,307 5,554,679 ------ ------ ------ ------- ---------- Net assets available for benefits at end of year $4,225 $4,573 $4,265 $65,304 $5,453,298 ====== ====== ====== ======= ==========
81 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2000 (in thousands) 5 to 8 Year 8 to 20 Year 20 or More Lehman Brothers S&P 500 Large Time Time Year Time Fixed Aggregate Stock Horizon Fund Horizon Fund Horizon Fund Income Fund Bond Index Fund Index Fund ------------ ------------ ------------ ----------- --------------- ------------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 12 $ 38 $ 43 Other dividends Interest 906 690 84 $ 244,667 $ 8 $ 370 Net realized and unrealized gains (losses) from investments (899) (4,906) (6,316) 730 697 (34,009) Employer contributions 123 332 527 2,134 50 1,357 Participants' contributions 2,052 5,106 5,269 93,224 472 19,730 Transfers among funds (823) (10,591) 642 (91,156) 4,467 (61,459) ------- ------- ------- ---------- ------- -------- Total Additions 1,371 (9,331) 249 249,599 5,694 (74,011) ------- ------- ------- ---------- ------- -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (2,929) (2,988) (2,017) (318,415) (452) (20,115) Loans transfers, net (41) (98) (105) 0 (51) (313) Administrative expenses (30) (59) (59) (754) (7) (163) ------- ------- ------- ---------- ------- -------- Total Deductions 3,000 3,145 2,181 319,169 510 20,591 ------- ------- ------- ---------- ------- -------- (Decrease) increase in net assets (1,629) (12,476) (1,932) (69,570) 5,184 (94,602) Net assets available for benefits at beginning of year 40,359 70,008 43,424 3,386,837 5,096 430,643 ------- ------- ------- ---------- ------- -------- Net assets available for benefits at end of year $38,730 $57,532 $41,492 $3,317,267 $10,280 $336,041 ======= ======= ======= ========== ======= ========
82 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2000 (in thousands) Non-U.S. Russell 2000 Stock Small Stock Kodak PIMCO Total MAS High Fidelity Index Fund Index Fund Stock Fund Return Fund Yield Fund Puritan Fund ---------- ------------ ---------- ----------- ---------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 9,071 Other dividends $ 939 $ 1,581 $ 2,325 Interest $ 7 $ 45 969 8 9 72 Net realized and unrealized gains (losses) from investments (1,397) (1,703) (123,526) 691 (2,935) 2,772 Employer contributions 69 191 355 38 31 234 Participants' contributions 766 2,330 5,657 462 495 3,666 Transfers among funds (798) 7,747 (36,515) 15,545 526 (23,975) ------- ------- --------- ------- ------- -------- Total Additions (1,353) 8,610 (143,989) 17,683 (293) (14,906) ------- ------- --------- ------- ------- -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (348) (1,495) (20,459) (1,410) (1,023) (5,462) Loans transfers, net (19) 59 (1,233) (26) (14) 2 Administrative expenses (14) (22) (72) (3) (3) (18) ------- ------- --------- ------- ------- -------- Total Deductions 381 1,458 21,764 1,439 1,040 5,478 ------- ------- --------- ------- ------- -------- (Decrease) increase in net assets (1,734) 7,152 (165,753) 16,244 (1,333) (20,384) Net assets available for benefits at beginning of year 8,549 26,486 383,304 9,238 14,309 93,079 ------- ------- --------- ------- ------- -------- Net assets available for benefits at end of year $ 6,815 $33,638 $ 217,551 $25,482 $12,976 $ 72,695 ======= ======= ========= ======= ======= ========
83 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2000 (in thousands) T. Rowe Price Fidelity Growth Putnam Putnam T. Rowe Price Equity and Investors Vista PBHG Small-Cap Income Fund Income Fund Fund Fund Growth Fund Value Fund ------------- --------------- --------- -------- ----------- ------------- ADDITIONS OF NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 538 $ 533 $ 283 Interest 24 65 $ 93 $ 64 $ 131 21 Net realized and unrealized gains (losses) from investments 2,680 (2,300) (16,519) (9,006) (41,557) 4,167 Employer contributions 84 299 335 261 403 84 Participants' contributions 1,374 3,873 4,418 3,307 4,501 1,114 Transfers among funds (971) (12,243) (383) 42,108 72,639 3,802 ------- -------- -------- ------- -------- ------- Total Additions 3,729 (9,773) (12,056) 36,734 36,117 9,471 ------- -------- -------- ------- -------- ------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (1,387) (4,030) (4,146) (3,291) (3,443) (1,323) Loans transfers, net (27) (6) (50) (197) (689) (13) Administrative expenses (6) (16) (20) (15) (20) (5) ------- -------- -------- ------- -------- ------- Total Deductions 1,420 4,052 4,216 3,503 4,152 1,341 ------- -------- -------- ------- -------- ------- Increase (decrease) in net assets 2,309 (13,825) (16,272) 33,231 31,965 8,130 Net assets available for benefits at beginning of year 29,482 78,860 89,661 40,705 37,759 22,035 ------- -------- -------- ------- -------- ------- Net assets available for benefits at end of year $31,791 $ 65,035 $ 73,389 $73,936 $ 69,724 $30,165 ======= ======== ======== ======= ======== =======
84 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2000 (in thousands) Putnam OTC MAS RogersCasey MFS Putnam Skyline Special & Emerging Value Smaller Institutional Voyager Equity Fund Growth Fund Fund Stock Fund Research Fund Fund --------------- ----------- ------- ----------- ------------- ------- >C> ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 259 $ 3,304 $ 32 Interest $ 19 $ 184 16 1,288 16 $ 85 Net realized and unrealized gains (losses) from investments 2,438 (80,099) 3,906 33,618 (1,046) (15,129) Employer contributions 45 537 58 399 64 353 Participants' contributions 868 6,513 880 7,423 807 4,643 Transfers among funds (158) 60,806 9,006 (25,546) 2,354 17,496 ------- -------- ------- -------- ------- -------- Total Additions 3,212 (12,059) 14,125 20,486 2,227 7,448 ------- -------- ------- -------- ------- -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (409) (4,474) (821) (22,168) (1,113) (4,028) Loans transfers, net 18 (463) (5) (1,171) (30) (204) Administrative expenses (2) (28) (3) (2,505) (4) (20) ------- -------- ------- -------- ------- -------- Total Deductions 393 4,965 829 25,844 1,147 4,252 ------- -------- ------- -------- ------- -------- Increase (decrease) in net assets 2,819 (17,024) 13,296 (5,358) 1,080 3,196 Net assets available for benefits at beginning of year 12,123 88,227 15,633 343,840 14,380 71,103 ------- -------- ------- -------- ------- -------- Net assets available for benefits at end of year $14,942 $ 71,203 $28,929 $338,482 $15,460 $ 74,299 ======= ======== ======= ======== ======= ========
85 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2000 (in thousands) Cohen T. Rowe Price T. Rowe Price & Steers First Eagle Blue Chip T. Rowe Price Science & Realty Fund Fund of America Growth Fund New Era Fund Technology Fund ----------- --------------- ------------- ------------- --------------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 669 $ 68 Interest 13 $ 14 $ 59 13 $ 334 Net realized and unrealized gains (losses) from investments 1,581 (56) (2,353) 527 (101,972) Employer contributions 39 57 337 29 1,182 Participants' contributions 611 820 3,562 280 13,983 Transfers among funds 8,796 (6,826) 8,207 3,311 35,235 ------- ------- ------- ------ --------- Total Additions 11,709 (5,991) 9,812 4,228 (51,238) ------- ------- ------- ------ --------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (273) (1,077) (3,050) (230) (12,547) Loans transfers, net (43) 26 (53) 1 (918) Administrative expenses (2) (4) (15) (1) (63) ------- ------- ------- ------ --------- Total Deductions 318 1,055 3,118 230 13,528 ------- ------- ------- ------ --------- Increase (decrease) in net assets 11,391 (7,046) 6,694 3,998 (64,766) Net assets available for benefits at beginning of year 5,854 22,912 59,777 3,307 262,145 ------- ------- ------- ------ --------- Net assets available for benefits at end of year $17,245 $15,866 $66,471 $7,305 $ 197,379 ======= ======= ======= ====== =========
86 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2000 (in thousands) Morgan Stanley Russell Acorn State Street Templeton Institutional International International Emerging Mkts. Developing Int'l. Equity Fund Stock Fund Fund Index Fund Markets Fund ------------------ ------------- ------------- -------------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 101 $ 617 $ 33 Interest 26 $ 30 45 $ 7 9 Net realized and unrealized gains (losses) from investments 4,580 (6,043) (6,860) (908) (2,454) Employer contributions 126 102 173 21 35 Participants' contributions 1,995 1,554 2,913 290 419 Transfers among funds (4,652) (1,908) (4,184) (2,275) (2,879) ------- ------- ------- ------- ------- Total Additions 2,176 (6,265) (7,296) (2,865) (4,837) ------- ------- ------- ------- ------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (2,932) (1,906) (853) (67) (273) Loans transfers, net (39) (104) 158 13 1 Administrative expenses (12) (10) (7) (18) (1) ------- ------- ------- ------- ------- Total Deductions 2,983 2,020 702 72 273 ------- ------- ------- ------- ------- Decrease in net assets (807) (8,285) (7,998) (2,937) (5,110) Net assets available for benefits at beginning of year 57,704 43,722 28,208 4,812 9,800 ------- ------- ------- ------- ------- Net assets available for benefits at end of year $56,897 $35,437 $20,210 $ 1,875 $ 4,690 ======= ======= ======= ======= =======
87 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 2000 (in thousands) Matthews Newport Pacific Scudder Latin Loan TOTAL Tiger Fund Tiger Fund I America Fund Fund ALL FUNDS ---------- ------------ ------------- -------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 9,164 Other dividends $ 157 $ 39 11,478 Interest $ 1 3 9 250,404 Net realized and unrealized gains (losses) from investments 95 (1,149) (1,124) (405,784) Employer contributions 4 9 26 10,503 Participants' contributions 53 61 305 205,796 Transfers among funds (8,011) 4,388 (1,722) 0 ------- ------ ------- -------- ---------- Total Additions (7,858) 3,469 (2,467) 0 81,561 ------- ------ ------- -------- ---------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (124) (77) (208) (3,103) (454,466) Loans transfers, net 6 (1) 5 5,624 0 Administrative expenses (1) (1) (1) (3,984) ------- ------ ------- -------- ---------- Total Deductions 119 79 204 (2,521) 458,450 ------- ------ ------- -------- ---------- (Decrease) increase in net assets (7,977) 3,390 (2,671) 2,521 (376,889) Net assets available for benefits at beginning of year 7,977 0 7,424 62,786 5,931,568 ------- ------ ------- -------- ---------- Net assets available for benefits at end of year $ 0 $3,390 $ 4,753 $ 65,307 $5,554,679 ======= ====== ======= ======== ==========
88 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 1999 (in thousands) 5 to 8 Year 8 to 20 Year 20 or More Lehman Brothers S&P 500 Large Time Time Year Time Fixed Aggregate Stock Horizon Fund Horizon Fund Horizon Fund Income Fund Bond Index Fund Index Fund ------------ ------------ ------------ ----------- --------------- ------------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 10 $ 30 $ 24 Other dividends Interest 888 667 66 $ 251,721 $ 8 $ 421 Net realized and unrealized gains (losses) from investments 3,854 10,239 7,974 (38) 76,824 Participants' contributions 6,842 9,033 5,445 183,944 1,254 28,246 Transfers among funds (3,316) 2,886 5,584 (40,821) (3,774) (6,993) ------- ------- ------- ---------- ------ -------- Total Additions 8,278 22,855 19,093 394,844 (2,550) 98,498 ------- ------- ------- ---------- ------ -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (4,769) (3,879) (1,398) (289,463) (723) (23,627) Loans transfers, net (137) (288) (127) 492 (30) (1,160) Administrative expenses (47) (82) (54) (2,135) (9) (340) ------- ------- ------- ---------- ------ -------- Total Deductions 4,953 4,249 1,579 291,106 762 25,127 ------- ------- ------- ---------- ------ -------- Increase in net assets 3,325 18,606 17,514 103,738 (3,312) 73,371 Net assets available for benefits at beginning of year 37,034 51,402 25,910 3,283,099 8,408 357,272 ------- ------- ------- ---------- ------ -------- Net assets available for benefits at end of year $40,359 $70,008 $43,424 $3,386,837 $5,096 $430,643 ======= ======= ======= ========== ====== ========
89 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 1999 (in thousands) Non-U.S. Russell 2000 Stock Small Stock Kodak PIMCO Total MAS High Fidelity Index Fund Index Fund Stock Fund Return Fund Yield Fund Puritan Fund ---------- ------------ ---------- ----------- ---------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 9,066 Other dividends $ 656 $ 1,474 $ 3,524 Interest $ 5 $ 33 1,166 8 11 108 Net realized and unrealized gains (losses) from investments 1,912 4,482 (23,664) (682) (339) (712) Participants' contributions 804 2,564 10,112 758 747 7,934 Transfers among funds 1,227 (5,657) 23,510 (2,833) (1,688) (27,494) ------ ------- -------- ------- ------- -------- Total Additions 3,948 1,422 20,190 (2,093) 205 (16,640) ------ ------- -------- ------- ------- -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (230) (1,323) (25,417) (485) (1,008) (7,602) Loans transfers, net (19) (45) (1,846) 27 42 (14) Administrative expenses (13) (25) (238) (7) (9) (70) ------ ------- -------- ------- ------- -------- Total Deductions 262 1,393 27,501 465 975 7,686 ------ ------- -------- ------- ------- -------- Increase in net assets 3,686 29 (7,311) (2,558) (770) (24,326) Net assets available for benefits at beginning of year 4,863 26,457 390,615 11,796 15,079 117,405 ------ ------- -------- ------- ------- -------- Net assets available for benefits at end of year $8,549 $26,486 $383,304 $ 9,238 $14,309 $ 93,079 ====== ======= ======== ======= ======= ========
90 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 1999 (in thousands) T. Rowe Price Fidelity Growth Putnam Putnam T. Rowe Price Equity and Investors Vista PBHG Small-Cap Income Fund Income Fund Fund Fund Growth Fund Value Fund ------------- --------------- --------- -------- ----------- ------------- ADDITIONS OF NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 667 $ 698 $ 197 Interest 26 75 $ 99 $ 24 $ 16 22 Net realized and unrealized gains (losses) from investments 307 7,337 19,661 12,862 13,642 58 Participants' contributions 2,520 6,973 5,384 1,901 1,110 1,625 Transfers among funds (9,862) (9,447) 21,469 10,801 10,061 (10,189) ------- ------- ------- -------- ------- ------- Total Additions (6,342) 5,636 46,613 25,588 24,829 (8,287) ------- ------- ------- -------- ------- ------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (2,288) (5,085) (3,802) (1,522) (687) (1,627) Loans transfers, net (60) (163) (191) (71) (77) (21) Administrative expenses (22) (53) (45) (16) (9) (16) ------- ------- ------- ------- ------- ------- Total Deductions 2,370 5,301 4,038 1,609 773 1,664 ------- ------- ------- ------- ------- ------- Increase in net assets (8,712) 335 42,575 23,979 24,056 (9,951) Net assets available for benefits at beginning of year 38,194 78,525 47,086 16,726 13,703 31,986 ------- ------- ------- ------- ------- ------- Net assets available for benefits at end of year $29,482 $78,860 $89,661 $40,705 $37,759 $22,035 ======= ======= ======= ======= ======= =======
91 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 1999 (in thousands) Putnam OTC MAS RogersCasey MFS Putnam Skyline Special & Emerging Value Smaller Institutional Voyager Equity Fund Growth Fund Fund Stock Fund Research Fund Fund --------------- ----------- ------- ----------- ------------- ------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 406 $ 3,560 $ 64 Interest $ 30 $ 31 17 1,569 12 $ 41 Net realized and unrealized gains (losses) from investments (2,431) 35,447 (895) 59,870 2,698 21,279 Participants' contributions 1,646 1,607 1,219 12,834 1,061 3,013 Transfers among funds (11,789) 35,603 (8,306) (114,154) 912 26,498 -------- ------- ------- --------- ------- ------- Total Additions (12,544) 72,688 (7,559) (36,321) 4,747 50,831 -------- ------- ------- --------- ------- ------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (1,099) (1,278) (1,435) (25,385) (473) (1,970) Loans transfers, net 79 (144) 37 (840) (15) (31) Administrative expenses (12) (17) (13) (2,841) (8) (24) -------- ------- ------- --------- ------- ------- Total Deductions 1,032 1,439 1,411 29,066 496 2,025 -------- ------- ------- --------- ------- ------- Increase in net assets (13,576) 71,249 (8,970) (65,387) 4,251 48,806 Net assets available for benefits at beginning of year 25,699 16,978 24,603 409,227 10,129 22,297 ------- ------- ------- --------- ------- ------- Net assets available for benefits at end of year $12,123 $88,227 $15,633 $ 343,840 $14,380 $71,103 ======= ======= ======= ========= ======= =======
92 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 1999 (in thousands) Cohen T. Rowe Price T. Rowe Price & Steers First Eagle Blue Chip T. Rowe Price Science & Realty Fund Fund of America Growth Fund New Era Fund Technology Fund ----------- --------------- ------------- ------------- --------------- ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 337 $ 49 $ 43 Interest 4 $ 25 58 4 $ 155 Net realized and unrealized gains (losses) from investments (156) 2,306 10,155 383 101,267 Participants' contributions 332 1,915 5,028 226 8,165 Transfers among funds (2,295) (2,907) 1,723 898 119,244 ------- ------- ------- ------ -------- Total Additions (1,778) 1,339 17,013 1,554 228,831 ------- ------- ------- ------ -------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (364) (1,309) (2,278) (179) (4,014) Loans transfers, net (1) 4 (158) (7) (701) Administrative expenses (4) (18) (34) (2) (72) ------- ------- ------- ------ -------- Total Deductions 369 1,323 2,470 188 4,787 ------- ------- ------- ------ -------- Increase in net assets (2,147) 16 14,543 1,366 224,044 Net assets available for benefits at beginning of year 8,001 22,896 45,234 1,941 38,101 ------- ------- ------- ------ -------- Net assets available for benefits at end of year $ 5,854 $22,912 $59,777 $3,307 $262,145 ======= ======= ======= ====== ========
93 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 1999 (in thousands) Morgan Stanley Dean Witter Russell Acorn State Street Templeton Institutional International International Emerging Mkts. Developing Int'l. Equity Fund Stock Fund Fund Index Fund Markets Fund ------------------ ------------- ------------- -------------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock Other dividends $ 500 $ 132 Interest 31 $ 30 9 $ 3 $ 8 Net realized and unrealized gains (losses) from investments 8,151 13,991 12,033 1,488 4,161 Participants' contributions 2,719 1,862 669 162 515 Transfers among funds (517) (2,718) 8,006 2,621 1,144 ------- ------- ------- ------ ------ Total Additions 10,884 13,165 20,849 4,274 5,828 ------- ------- ------- ------ ------ DEDUCTIONS FROM NET ASSETS: Distributions to participants (2,534) (2,184) (711) (153) (362) Loans transfers, net 42 (40) (42) (35) (62) Administrative expenses (33) (21) (9) (23) (6) ------- ------- ------- ------ ------ Total Deductions 2,525 2,245 762 211 430 ------- ------- ------- ------ ------ Increase in net assets 8,359 10,920 20,087 4,063 5,398 Net assets available for benefits at beginning of year 49,345 32,802 8,121 749 4,402 ------- ------- ------- ------ ------ Net assets available for benefits at end of year $57,704 $43,722 $28,208 $4,812 $9,800 ======= ======= ======= ====== ======
94 Schedule III (Cont'd) EASTMAN KODAK EMPLOYEES' SAVINGS AND INVESTMENT PLAN ALLOCATION OF CHANGES IN NET ASSETS AVAILABLE FOR BENEFITS TO INVESTMENT FUNDS For the fiscal year ended December 30, 1999 (in thousands) Newport Scudder Latin Loan TOTAL Tiger Fund America Fund Fund ALL FUNDS ---------- ------------- -------- ------------ ADDITIONS TO NET ASSETS: Dividends on Eastman Kodak Company common stock $ 9,130 Other dividends $ 14 12,321 Interest $ 13 9 257,413 Net realized and unrealized gains (losses) from investments 6,477 2,601 412,542 Participants' contributions 602 271 321,042 Transfers among funds (7,490) 63 0 ------ ------- -------- ---------- Total Additions (398) 2,958 0 1,012,448 ------ ------- -------- ---------- DEDUCTIONS FROM NET ASSETS: Distributions to participants (178) (210) (5,070) (426,121) Loans transfers, net 28 21 5,553 0 Administrative expenses (5) (4) (6,336) ------ ------- -------- ---------- Total Deductions 155 193 (483) 432,457 ------ ------- -------- ---------- Increase in net assets (553) 2,765 483 579,991 Net assets available for benefits at beginning of year 8,530 4,659 62,303 5,351,577 ------ ------- -------- ---------- Net assets available for benefits at end of year $7,977 $ 7,424 $ 62,786 $5,931,568 ====== ======= ======== ==========
95 CONSENT OF INDEPENDENT ACCOUNTANTS We hereby consent to the incorporation by reference in the Registration Statement on Form S-8 (No. 333-43524) of Eastman Kodak Company of our report dated June 14, 2002 relating to the financial statements of Eastman Kodak Employees' Savings and Investment Plan, which appears in this Form 11-K. PricewaterhouseCoopers LLP Rochester, New York June 24, 2002