Initial Statement of Beneficial Ownership (3)
06 Janeiro 2016 - 7:05PM
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
*
Ferrero Lisa
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/5/2016
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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 Vice President & CAO /
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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 - Held by Spouse
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0
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I
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Held by Spouse
(1)
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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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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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4500
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$18.85
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I
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Held by Spouse
(1)
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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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5000
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$23.37
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I
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Held by Spouse
(1)
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Stock Options (Right to Buy)
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1/3/2012
(2)
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1/3/2021
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Common Stock
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4343
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$19.19
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I
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Held by Spouse
(1)
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Stock Options (Right to Buy)
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1/4/2011
(3)
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1/4/2020
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Common Stock
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4333
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$19.56
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I
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Held by Spouse
(1)
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Stock Options (Right to Buy)
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12/2/2010
(4)
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12/2/2019
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Common Stock
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4333
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$17.82
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I
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Held by Spouse
(1)
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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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10000
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$24.92
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I
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Held by Spouse
(1)
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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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9000
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$21.89
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I
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Held by Spouse
(1)
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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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5000
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$24.72
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I
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Held by Spouse
(1)
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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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4500
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$20.86
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I
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Held by Spouse
(1)
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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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5000
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$24.61
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I
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Held by Spouse
(1)
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Stock Options (Right to Buy)
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2/1/2011
(5)
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2/1/2020
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Common Stock
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4334
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$18.16
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I
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Held by Spouse
(1)
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Stock Options (Right to Buy)
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2/1/2012
(6)
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2/1/2021
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Common Stock
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3673
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$22.69
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I
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Held by Spouse
(1)
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Stock Options (Right to Buy)
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3/1/2012
(7)
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3/1/2021
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Common Stock
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3783
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$22.03
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I
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Held by Spouse
(1)
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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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8038
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$13.33
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I
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Held by Spouse
(1)
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Stock Options (Right to Buy)
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4/27/2007
(8)
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4/26/2016
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Common Stock
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500
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$28.20
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I
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Held by Spouse
(1)
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Explanation of Responses:
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(
1)
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The Reporting Person disclaims beneficial ownership of all securities held by spouse.
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(
2)
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The options vested in three installments beginning on January 3, 2012.
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(
3)
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The options vested in three installments beginning on January 4, 2011.
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(
4)
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The options vested in three installments beginning on December 2, 2010.
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(
5)
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The options vested in three installments beginning on February 1, 2011.
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(
6)
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The options vested in three installments beginning on February 1, 2012.
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(
7)
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The options vested in three installments beginning on March 1, 2012.
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(
8)
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The options vested in three installments beginning on April 27, 2007.
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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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Ferrero Lisa
ONE RIVERFRONT PLAZA
CORNING, NY 14831
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Senior Vice President & CAO
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Signatures
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Linda E. Jolly, Power of Attorney
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1/6/2016
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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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