# EDGAR Filing Document

**Accession Number:** 0001206158
**File Stem:** 0001127602-23-004445
**Filing Date:** 2023-2
**Character Count:** 10835
**Document Hash:** 919dadeed7117f8c1a3abbfb3da4cbfa
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-004445.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0001127602-23-004445

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230208

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230210

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** WEEKS WENDELL P
- **CENTRAL INDEX KEY:** 0001206158

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-03247
- **FILM NUMBER:** 23611718

**BUSINESS ADDRESS:**
- **STREET 1:** ONE RIVERFRONT PLZ
- **CITY:** CORNING
- **STATE:** NY
- **ZIP:** 14831
- **BUSINESS PHONE:** 607-974-9000

**MAIL ADDRESS:**
- **STREET 1:** ONE RIVERFRONT PLZ
- **CITY:** CORNING
- **STATE:** NY
- **ZIP:** 14831
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CORNING INC /NY
- **CENTRAL INDEX KEY:** 0000024741
- **STANDARD INDUSTRIAL CLASSIFICATION:** DRAWING AND INSULATING NONFERROUS WIRE [3357]
- **IRS NUMBER:** 160393470
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** ONE RIVERFRONT PLAZA
- **CITY:** CORNING
- **STATE:** NY
- **ZIP:** 14831
- **BUSINESS PHONE:** 6079749000

**MAIL ADDRESS:**
- **STREET 1:** ONE RIVERFRONT PLAZA
- **CITY:** CORNING
- **STATE:** NY
- **ZIP:** 14831

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CORNING GLASS WORKS
- **DATE OF NAME CHANGE:** 19890512

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>WEEKS WENDELL P<br><sub>(Last) (First) (Middle)</sub><br>ONE RIVERFRONT PLAZA<br><sub>(Street)</sub><br>CORNING, NY 14831<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-08 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chairman and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CORNING INC /NY [ GLW ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-08 |  | M |  | 816 | A | <sup>(1)</sup> | 683917 | D |  |
| Common Stock | 2023-02-08 |  | M |  | 621 | A | <sup>(1)</sup> | 684538 | D |  |
| Common Stock | 2023-02-08 |  | M |  | 3394 | A | <sup>(1)</sup> | 687932 | D |  |
| Common Stock | 2023-02-08 |  | F |  | 4831 | D | $35.14 | 683101 | D |  |
| Common Stock |  |  |  |  |  |  |  | 9200 | I | Held by Spouse<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 6580.6784 | I | Held By Spouse - Emp. Ben. Plan<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 10846.7734 | I | Trustee U/employee Benefit Plan |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Share Unit | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 37705 |  | 37705 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock | 147612 |  | 147612 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 76375 |  | 76375 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 100463 |  | 100463 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(8)</sup> | <sup>(8)</sup> | Common Stock | 2902 |  | 2902 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> | 2023-02-08 |  | A |  | 10792<sup>(9)</sup> |  | <sup>(10)</sup> | <sup>(10)</sup> | Common Stock | 10792 | $0 | 10792 | D |  |
| Performance Share Unit | <sup>(1)</sup> | 2023-02-08 |  | A |  | 23014 |  | <sup>(11)</sup> | <sup>(11)</sup> | Common Stock | 23014 | $0 | 23014 | D |  |
| Performance Share Unit | <sup>(1)</sup> | 2023-02-08 |  | A |  | 17519 |  | <sup>(12)</sup> | <sup>(12)</sup> | Common Stock | 17519 | $0 | 77869 | D |  |
| Performance Share Unit | <sup>(1)</sup> | 2023-02-08 |  | A |  | 95740 |  | <sup>(13)</sup> | <sup>(13)</sup> | Common Stock | 95740 | $0 | 332388 | D |  |
| Performance Share Unit | <sup>(1)</sup> | 2023-02-08 |  | M |  |  | 816 | <sup>(11)</sup> | <sup>(11)</sup> | Common Stock | 816 | <sup>(1)</sup> | 22198 | D |  |
| Performance Share Unit | <sup>(1)</sup> | 2023-02-08 |  | M |  |  | 621 | <sup>(12)</sup> | <sup>(12)</sup> | Common Stock | 621 | <sup>(1)</sup> | 77248 | D |  |
| Performance Share Unit | <sup>(1)</sup> | 2023-02-08 |  | M |  |  | 3394 | <sup>(13)</sup> | <sup>(13)</sup> | Common Stock | 3394 | <sup>(1)</sup> | 328994 | D |  |

---

### Footnotes:

(1) Each performance share 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) Performance share units (PSUs) were earned February 3, 2021 per Compensation Committee decision that performance criteria were satisfied for fiscal year 2020 pursuant to the 2020 agreement.  Earned PSUs remain restricted until vesting.  The earned units will vest ratably over 3 years from the grant date and convert to common stock, subject to service-based vesting requirement.

(4) Each restricted stock unit represents a contingent right to receive one share of Corning Incorporated common stock.

(5) The restricted stock units (RSUs) vest 100% on April 14, 2023. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to the vesting date.

(6) The restricted stock units (RSUs) vest 100% on April 15, 2024. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to the vesting date.

(7) The restricted stock units (RSUs) vest 100% on April 15, 2025. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to the vesting date.

(8) The restricted stock units will vest on May 15, 2023. Events such as retirement, death, disability, and others specified in the May 2020 agreement may result in vesting prior to the vesting date.

(9) Employees were provided an opportunity to voluntarily exchange a portion of their compensation for the first six months of 2023 for restricted stock units (RSUs). The reporting person exchanged $316,000 of their cash compensation for 10,792 RSUs.

(10) The restricted stock units (RSUs) vest 2/3 after 1 year and 1/3 after 18 months from the grant date.

(11) Performance share units (PSUs) were earned February 8, 2023 per Compensation Committee decision that performance criteria were satisfied for fiscal year 2022 pursuant to the 2022 agreement. Earned PSUs remain restricted until April 15, 2025, when they vest and convert to common stock, subject to service-based vesting requirement.

(12) Performance share units (PSUs) were earned February 8, 2023 per Compensation Committee decision that performance criteria were satisfied for fiscal year 2022 pursuant to the 2021 agreement. Earned PSUs remain restricted until April 15, 2024, when they vest and convert to common stock, subject to service-based vesting requirement.

(13) Performance share units (PSUs) were earned February 8, 2023 per Compensation Committee decision that performance criteria were satisfied for fiscal year 2022 pursuant to the 2020 agreement.  Earned PSUs remain restricted until April 14, 2023, when they vest and convert to common stock, subject to service-based vesting requirement.

**Signature:** Linda E. Jolly, Power of Attorney  
**Date:** 2023-02-10

### Remarks:

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 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).

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.**