Initial Statement of Beneficial Ownership (3)
May 01 2015 - 4:22PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
*
ROGUS MARK S
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/1/2015
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3. Issuer Name
and
Ticker or Trading Symbol
CORNING INC /NY [GLW]
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(Last)
(First)
(Middle)
ONE RIVERFRONT PLAZA
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Senior VP & Treasurer /
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(Street)
CORNING, NY 14831
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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75072
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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(1)
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(1)
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Common Stock
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13829
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(2)
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D
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Restricted Stock Unit
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(3)
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(3)
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Common Stock
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8943
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(2)
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D
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Restricted Stock Unit
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(4)
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(4)
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Common Stock
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8818
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(2)
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D
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Stock Options (Right to Buy)
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12/6/2007
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12/5/2016
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Common Stock
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18000
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$21.89
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D
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Stock Options (Right to Buy)
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1/2/2008
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1/1/2016
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Common Stock
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10750
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$19.68
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D
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Stock Options (Right to Buy)
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12/5/2008
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12/4/2017
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Common Stock
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18000
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$24.92
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D
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Stock Options (Right to Buy)
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1/2/2009
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1/1/2017
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Common Stock
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9000
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$18.85
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D
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Stock Options (Right to Buy)
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2/1/2009
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1/31/2016
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Common Stock
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10750
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$24.72
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D
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Stock Options (Right to Buy)
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1/2/2010
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1/1/2018
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Common Stock
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9000
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$23.37
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D
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Stock Options (Right to Buy)
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2/1/2010
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1/31/2017
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Common Stock
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9000
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$20.86
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D
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Stock Options (Right to Buy)
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2/2/2010
(5)
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2/1/2019
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Common Stock
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32667
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$10.25
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D
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Stock Options (Right to Buy)
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12/2/2010
(6)
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12/2/2019
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Common Stock
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8333
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$17.82
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D
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Stock Options (Right to Buy)
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1/4/2011
(7)
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1/4/2020
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Common Stock
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8333
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$19.56
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D
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Stock Options (Right to Buy)
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2/1/2011
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1/31/2018
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Common Stock
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9000
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$24.61
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D
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Stock Options (Right to Buy)
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2/1/2011
(8)
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2/1/2020
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Common Stock
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8334
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$18.16
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D
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Stock Options (Right to Buy)
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1/3/2012
(9)
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1/3/2021
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Common Stock
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7238
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$19.19
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D
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Stock Options (Right to Buy)
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2/1/2012
(10)
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2/1/2021
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Common Stock
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6121
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$22.69
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D
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Stock Options (Right to Buy)
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3/1/2012
(11)
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3/1/2021
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Common Stock
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6305
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$22.03
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D
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Stock Options (Right to Buy)
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1/3/2015
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1/3/2022
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Common Stock
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12382
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$13.04
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D
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Stock Options (Right to Buy)
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2/1/2015
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2/1/2022
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Common Stock
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12516
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$12.90
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D
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Stock Options (Right to Buy)
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3/1/2015
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3/1/2022
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Common Stock
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12449
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$12.97
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D
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Stock Options (Right to Buy)
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3/28/2016
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3/28/2023
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Common Stock
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13843
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$13.33
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D
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Stock Options (Right to Buy)
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4/30/2016
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4/30/2023
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Common Stock
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12726
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$14.50
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D
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Stock Options (Right to Buy)
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5/31/2016
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5/31/2023
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Common Stock
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12005
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$15.37
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D
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Stock Options (Right to Buy)
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3/31/2017
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3/31/2024
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Common Stock
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4803
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$20.82
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D
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Stock Options (Right to Buy)
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4/30/2017
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4/30/2024
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Common Stock
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4782
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$20.91
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D
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Stock Options (Right to Buy)
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5/30/2017
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5/30/2024
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Common Stock
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4695
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$21.30
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D
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Stock Options (Right to Buy)
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3/31/2018
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3/31/2025
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Common Stock
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4409
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$22.68
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D
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Stock Options (Right to Buy)
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4/30/2018
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4/30/2025
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Common Stock
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4778
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$20.93
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D
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Explanation of Responses:
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(
1)
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The Restricted Stock Units vest 100% on April 18, 2016. Vested shares will be delivered to the reporting person within thirty (30) days after April 18, 2016. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 18, 2016.
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(
2)
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Each restricted stock unit represents a contingent right to receive one share of Corning Incorporated Common Stock.
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(
3)
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The Restricted Stock Units vest 100% on April 17, 2017. Vested shares will be delivered to the reporting person within thirty (30) days after April 17, 2017. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 17, 2017.
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(
4)
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The Restricted Stock Units vest 100% on April 16, 2018. Vested shares will be delivered to the reporting person within thirty (30) days after April 16, 2018. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 16, 2018.
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(
5)
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The options vest in three annual installments beginning on February 2, 2010.
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(
6)
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The options vest in three annual installments beginning on December 2, 2010.
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(
7)
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The options vest in three annual installments beginning on January 4, 2011.
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(
8)
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The options vest in three annual installments beginning on February 1, 2011.
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(
9)
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The options vest in three annual installments beginning on January 3, 2012.
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(
10)
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The options vest in three annual installments beginning on February 1, 2012.
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(
11)
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The options vest in three annual installments beginning on March 1, 2012.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ROGUS MARK S
ONE RIVERFRONT PLAZA
CORNING, NY 14831
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Senior VP & Treasurer
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Signatures
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Linda E. Jolly, Power of Attorney
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5/1/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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