SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Zhang John Z

(Last) (First) (Middle)
ONE RIVERFRONT PLAZA

(Street)
CORNING NY 14831

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/07/2020
3. Issuer Name and Ticker or Trading Symbol
CORNING INC /NY [ GLW ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior VP & GM, Display
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Unit (1) (1) Common Stock 7,399 (2) D
Restricted Stock Unit (3) (3) Common Stock 6,265 (2) D
Restricted Stock Unit (4) (4) Common Stock 17,268 (2) D
Restricted Stock Unit (5) (5) Common Stock 14,352 (2) D
Restricted Stock Unit (5) (5) Common Stock 2,070 (2) D
Stock Options (Right to Buy) 03/31/2018 03/31/2025 Common Stock 3,031 22.68 D
Stock Options (Right to Buy) 03/31/2019 03/31/2026 Common Stock 4,189 20.89 D
Stock Options (Right to Buy) 05/31/2019 05/31/2026 Common Stock 4,189 20.89 D
Stock Options (Right to Buy) 03/31/2020 03/31/2027 Common Stock 11,668 27 D
Stock Options (Right to Buy) 04/02/2021 04/02/2028 Common Stock 13,320 27.03 D
Stock Options (Right to Buy) 04/01/2022 04/01/2029 Common Stock 12,529 33.92 D
Stock Options (Right to Buy) (6) 05/15/2030 Common Stock 10,350 19.65 D
Explanation of Responses:
1. The Restricted Stock Units vest 100% on April 15, 2021. Vested shares will be delivered to the reporting person within thirty (30) days after April 15, 2021. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 15, 2021.
2. Each restricted stock unit represents a contingent right to receive one share of Corning Incorporated Common Stock.
3. The Restricted Stock Units vest 100% on April 15, 2022. Vested shares will be delivered to the reporting person within thirty (30) days after April 15, 2022. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 15, 2022.
4. The Restricted Stock Units vest 100% on April 14, 2023. Vested shares will be delivered to the reporting person within thirty (30) days after April 14, 2023. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 14, 2023.
5. The restricted stock units will vest ratably over three years from the May 15, 2020 grant date. Vested shares will be delivered to the reporting person within sixty (60) days after vesting. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to the vesting dates.
6. The options will vest ratably over three years from the May 15, 2020 grant date.
Linda E. Jolly, Power of Attorney 10/09/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.