Statement of Changes in Beneficial Ownership (4)
April 17 2020 - 4:09PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
McRae Lawrence D |
2. Issuer Name and Ticker or Trading Symbol
CORNING INC /NY
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GLW
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice Chairman & Corp. Dev. Off |
(Last)
(First)
(Middle)
ONE RIVERFRONT PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/15/2020 |
(Street)
CORNING, NY 14831
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/15/2020 | | M | | 19701 | A | $0 (1) | 164030 | D | |
Common Stock | 4/15/2020 | | F | | 9185 | D | $19.99 | 154845 | D | |
Common Stock | | | | | | | | 755.6267 | I | Held By Wife - Emp. Benefit Plan (2) |
Common Stock | | | | | | | | 5627.5943 | I | Trustee U/employee Benefit Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | (1) | 4/15/2020 | | M | | | 19701 | (3) | (3) | Common Stock | 19701 | (1) | 0 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of Corning Incorporated Common Stock. |
(2) | The Reporting Person disclaims beneficial ownership of all securities held by spouse. |
(3) | Earned Restricted Stock Units awarded March 31, 2017 remained restricted until April 15, 2020, when they vested and converted into GLW common stock per terms of March 2017 Agreement approved by Compensation Committee. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McRae Lawrence D ONE RIVERFRONT PLAZA CORNING, NY 14831 |
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| Vice Chairman & Corp. Dev. Off |
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Signatures
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Linda E. Jolly, Power of Attorney | | 4/17/2020 |
**Signature of Reporting Person | Date |
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