Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CORNING INC /NYGLW · Entity 2883 | Senior Vice President & CAO | November 30, 2018 | December 04, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CORNING INC /NY
Report date November 30, 2018 · Filed December 04, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,554 |
Ending reported balance
After 2018-11-30 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2018-11-30 · Exercise / conversion · Acquired 14,361 · Balance 36,294 F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. Row 2 · 2018-11-30 · Exercise / conversion · Acquired 11,111 · Balance 47,405 F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. Row 3 · 2018-11-30 · Exercise / conversion · Acquired 11,022 · Balance 58,427 F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. Row 4 · 2018-11-30 · Tax withholding · Disposed 17,873 · Balance 40,554 |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-11-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-11-30 · Exercise / conversion · Disposed 14,361 · Balance 0 F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. F2: Earned Restricted Stock Units awarded March 31, 2016 remained restricted until November 30, 2018, when they vested and converted into GLW common stock per terms of March 2016 Agreement approved by Compensation Committee. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-11-30 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-11-30 · Exercise / conversion · Disposed 11,111 · Balance 0 F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. F3: Earned Restricted Stock Units awarded March 31, 2017 remained restricted until November 30, 2018, when they vested and converted into GLW common stock per terms of March 2017 Agreement approved by Compensation Committee. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 1,002 |
Reported balance
After 2018-11-30 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-11-30 · Exercise / conversion · Disposed 11,022 · Balance 1,002 F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. F4: Earned Restricted Stock Units awarded April 2, 2018 remained restricted until November 30, 2018, when they vested and converted into GLW common stock per terms of April 2018 Agreement approved by Compensation Committee. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-11-30 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-11-30 · Disposition to issuer · Disposed 1,002 · Balance 0 F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. F5: Represents the forfeiture of Restricted Stock Units awarded April 2, 2018, per terms of the April 2018 Agreement approved by Compensation Committee. F6: Restricted Stock Units awarded April 2, 2018 were forfeited on November 30, 2018 per terms of April 2018 Agreement approved by Compensation Committee. F7: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock.
F2: Earned Restricted Stock Units awarded March 31, 2016 remained restricted until November 30, 2018, when they vested and converted into GLW common stock per terms of March 2016 Agreement approved by Compensation Committee.
F3: Earned Restricted Stock Units awarded March 31, 2017 remained restricted until November 30, 2018, when they vested and converted into GLW common stock per terms of March 2017 Agreement approved by Compensation Committee.
F4: Earned Restricted Stock Units awarded April 2, 2018 remained restricted until November 30, 2018, when they vested and converted into GLW common stock per terms of April 2018 Agreement approved by Compensation Committee.
F5: Represents the forfeiture of Restricted Stock Units awarded April 2, 2018, per terms of the April 2018 Agreement approved by Compensation Committee.
F6: Restricted Stock Units awarded April 2, 2018 were forfeited on November 30, 2018 per terms of April 2018 Agreement approved by Compensation Committee.
F7: Not applicable.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | SaleCommon Stock - Held by Spouse | 18,000 | $22.87 | $411,642.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 8 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 0 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.867 to $22.877, inclusive. The reporting person undertakes to provide to Corning Incorporated, any security holder of Corning Incorporated, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth previously in this footnote. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of all securities held by spouse. Read SEC document |
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionCommon Stock - Held by Spouse | 4,500 | $20.86 | $93,870.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 7 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 18,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of all securities held by spouse. Read SEC document |
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionCommon Stock - Held by Spouse | 4,500 | $18.85 | $84,825.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 6 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 13,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of all securities held by spouse. Read SEC document |
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionCommon Stock - Held by Spouse | 9,000 | $21.89 | $197,010.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 5 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Spouse Disclosed balance after: 9,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of all securities held by spouse. Read SEC document |
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | SaleCommon Stock | 30,000 | $22.85 | $685,596.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 4 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,963 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.847 to $22.867, inclusive. The reporting person undertakes to provide to Corning Incorporated, any security holder of Corning Incorporated, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth previously in this footnote. Read SEC document |
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionCommon Stock | 7,500 | $20.86 | $156,450.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 3 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,963 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionCommon Stock | 7,500 | $18.85 | $141,375.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 2 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,463 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 10, 2016 Filed Aug 12, 2016 20:02 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionCommon Stock | 15,000 | $21.89 | $328,350.00 |
DisclosureSEC source: 0001127602-16-060179 · form4.xml · nonDerivative · entry 1 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,963 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 31, 2016 Filed Jun 1, 2016 20:13 UTC | CORNING INC /NY GLW · Entity 2883 | GrantStock Options (Right to Buy) · Derivative | 7,180 | $0.00 Strike: $20.89 | $0.00 |
DisclosureSEC source: 0001127602-16-054125 · form4.xml · derivative · entry 1 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,180 Underlying: Common Stock · 7,180 shares Expires 2026-05-31 F1 · derivative.exercise_date: The options will vest 100% at the end of three years from grant date. Read SEC document |
| April 29, 2016 Filed May 2, 2016 20:09 UTC | CORNING INC /NY GLW · Entity 2883 | GrantStock Options (Right to Buy) · Derivative | 8,034 | $0.00 Strike: $18.67 | $0.00 |
DisclosureSEC source: 0001127602-16-050458 · form4.xml · derivative · entry 1 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,034 Underlying: Common Stock · 8,034 shares Expires 2026-04-29 F1 · derivative.exercise_date: The options will vest 100% at the end of three years from grant date. Read SEC document |
| April 18, 2016 Filed Apr 19, 2016 20:13 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionRestricted Stock Unit · Derivative | 15,941 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-16-049469 · form4.xml · derivative · entry 3 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,941 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. F1 · price: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. F2 · derivative.exercise_date: Earned Restricted Stock Units awarded March 28, 2013 remained restricted until April 18, 2016, when they vested and converted into GLW common stock per terms of March 2013 Agreement approved by Compensation Committee. F2 · derivative.expiration_date: Earned Restricted Stock Units awarded March 28, 2013 remained restricted until April 18, 2016, when they vested and converted into GLW common stock per terms of March 2013 Agreement approved by Compensation Committee. Read SEC document |
| April 18, 2016 Filed Apr 19, 2016 20:13 UTC | CORNING INC /NY GLW · Entity 2883 | Tax withholdingCommon Stock | 5,978 | $20.92 | $125,059.76 |
DisclosureSEC source: 0001127602-16-049469 · form4.xml · nonDerivative · entry 2 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,963 Read SEC document |
| April 18, 2016 Filed Apr 19, 2016 20:13 UTC | CORNING INC /NY GLW · Entity 2883 | Exercise / conversionCommon Stock | 15,941 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-049469 · form4.xml · nonDerivative · entry 1 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,941 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represented a contingent right to receive one share of Corning Incorporated Common Stock. Read SEC document |
| March 31, 2016 Filed Apr 1, 2016 20:12 UTC | CORNING INC /NY GLW · Entity 2883 | GrantStock Options (Right to Buy) · Derivative | 7,180 | $0.00 Strike: $20.89 | $0.00 |
DisclosureSEC source: 0001127602-16-048131 · form4.xml · derivative · entry 2 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,180 Underlying: Common Stock · 7,180 shares Expires 2026-03-31 F3 · derivative.exercise_date: The options will vest 100% at the end of three years from grant date. Read SEC document |
| March 31, 2016 Filed Apr 1, 2016 20:12 UTC | CORNING INC /NY GLW · Entity 2883 | GrantRestricted Stock Unit · Derivative | 14,361 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-048131 · form4.xml · derivative · entry 1 Ferrero Lisa · CIK 0001662721 · Senior Vice President & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,361 Underlying: Common Stock · 14,361 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Corning Incorporated Common Stock. F2 · derivative.exercise_date: The Restricted Stock Units vest 100% on April 15, 2019. Vested shares will be delivered to the reporting person within thirty (30) days after April 15, 2019. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 15, 2019. F2 · derivative.expiration_date: The Restricted Stock Units vest 100% on April 15, 2019. Vested shares will be delivered to the reporting person within thirty (30) days after April 15, 2019. Events such as retirement, death, disability, and others specified in the agreement may result in vesting prior to April 15, 2019. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.