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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (1) | 11/01/2017 | M | 8,019 | (2) | (2) | Common Stock | 8,019 | (1) | 0 | D | ||||
Restricted Stock Unit | (1) | 11/01/2017 | M | 8,889 | (3) | (3) | Common Stock | 8,889 | (1) | 0 | D | ||||
Restricted Stock Unit | (1) | 11/01/2017 | M | 6,172 | (4) | (4) | Common Stock | 6,172 | (1) | 1,235 | D | ||||
Restricted Stock Unit | (1) | 11/01/2017 | D | 1,235 (5) | (6) | (7) | Common Stock | 1,235 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROGUS MARK S ONE RIVERFRONT PLAZA CORNING, NY 14831 |
Retired Senior VP & Treasurer |
Linda E. Jolly, Power of Attorney | 11/03/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. |
(2) | Earned Restricted Stock Units awarded March 31, 2015 remained restricted until November 1, 2017, when they vested and converted into GLW common stock per terms of March 2015 Agreement approved by Compensation Committee. |
(3) | Earned Restricted Stock Units awarded March 31, 2016 remained restricted until November 1, 2017, when they vested and converted into GLW common stock per terms of March 2016 Agreement approved by Compensation Committee. |
(4) | Earned Restricted Stock Units awarded March 31, 2017 remained restricted until November 1, 2017, when they vested and converted into GLW common stock per terms of March 2017 Agreement approved by Compensation Committee. |
(5) | Represents the forfeiture of Restricted Stock Units awarded March 31, 2017, per terms of March 2017 Agreement approved by Compensation Committee. |
(6) | Restricted Stock Units awarded March 31, 2017 were forfeited on November 1, 2017 per terms of March 2017 Agreement approved by Compensation Committee. |
(7) | Not applicable, |