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CORNING INC /NY — Major Shareholding Notification 2003
Feb 13, 2003
29942_mrq_2003-02-13_4e58ba15-41f9-4e7c-b007-1f545c2e6d08.zip
Major Shareholding Notification
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SEC 1745 (02-02) Potential persons who are to 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.
| UNITED STATES | OMB APPROVAL |
|---|---|
| SECURITIES AND EXCHANGE COMMISSION | OMB Number: 3235-0145 |
| Washington, D.C. 20549 | Expires: December 31, 2005 |
| SCHEDULE 13G (Rule 13d-102) | Estimated average burden |
hours per response. . 11 |
*Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 1)**
*Corning Incorporated*
(Name of Issuer)
*Common Stock*
(Title of Class of Securities)
*219350105*
(CUSIP Number)
*December 31, 2002*
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| [ ] | Rule
13d-1(b) |
| --- | --- |
| [ X ] | Rule
13d-1(c) |
| [ ] | Rule
13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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Page 2 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Limited Partnership | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Illinois limited partnership U.S.A. | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) PN; HC | |
Page 2 of 25
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Page 3 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) GLB Partners, L.P. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Delaware limited partnership, U.S.A. | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) PN; HC | |
Page 3 of 25
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Page 4 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Investment Group, L.L.C. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Delaware limited liability company U.S.A. | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) OO; HC | |
Page 4 of 25
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Page 5 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Kenneth Griffin | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization U.S. Citizen U.S.A. | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) IN; HC | |
Page 5 of 25
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Page 6 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Wellington Partners L.P. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Illinois limited partnership U.S.A. | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002. (Based on 1,147,999,772 shares of Common Stock issued and
outstanding as of September 30, 2002, plus the shares of Common Stock
issuable upon the conversion of the 3.5% Convertible Debentures referred to
in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) PN; HC | |
Page 6 of 25
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Page 7 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Equity Fund Ltd. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Bermuda company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [
] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the conversion
of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) CO | |
Page 7 of 25
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Page 8 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Kensington Global Strategies Fund Ltd. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Bermuda company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) CO; HC | |
Page 8 of 25
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Page 9 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Aragon Investments, Ltd. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Bermuda company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) CO | |
Page 9 of 25
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Page 10 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Jackson Investment Fund Ltd. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Cayman Islands company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) CO | |
Page 10 of 25
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Page 11 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Trading Group L.L.C. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization Delaware limited liability company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) OO | |
Page 11 of 25
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Page 12 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Edison Fund L.P. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization a Delaware limited partnership | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) PN; HC | |
Page 12 of 25
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Page 13 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Edison Fund Ltd. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization a Cayman Islands company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) CO; HC | |
Page 13 of 25
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Page 14 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Citadel Edison Investments Ltd. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization a Cayman Islands company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) CO | |
Page 14 of 25
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Page 15 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Wolfe Trading II L.L.C. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization a Delaware limited liability company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) OO | |
Page 15 of 25
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Page 16 of 25
| CUSIP No. 219350105 — 1. | Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only) Saragossa Trading LLC | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |
| | (a) | [ X ] |
| | (b) | [ ] |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of Organization a Delaware limited liability company | |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 0 |
| | 6. | Shared Voting Power $3,350,000 in principal amount of 3.5% Convertible Debentures (convertible
into 346,253 shares of Common Stock) Call Options to purchase 160,000 shares of Common Stock 132,371 shares of Common Stock |
| | 7. | Sole Dispositive Power 0 |
| | 8. | Shared Dispositive
Power See Row 6 above. |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person See Row 6 above. | |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) [ ] | |
| 11. | Percent of Class Represented by Amount in Row (9) Approximately 0.1% as of December 31, 2002.
(Based on 1,147,999,772 shares of Common Stock issued and outstanding
as of September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in Row 6 above.) | |
| 12. | Type of Reporting Person (See Instructions) OO | |
Page 16 of 25
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| CUSIP No. 219350105 | |
|---|---|
| Item 1. | |
| (a) | Name of Issuer CORNING INCORPORATED |
| (b) | Address of Issuer's Principal Executive Offices One Riverfront Plaza Corning, New York 14831 |
| Item 2. | |
|---|---|
| (a) | Name of Person Filing |
| (b) | Address of Principal Business Office or, if none, Residence |
| (c) | Citizenship |
| Citadel |
Limited Partnership 225 W.
Washington 9th Floor Chicago,
Illinois 60606 Illinois
limited partnership GLB
Partners, L.P. 225 W.
Washington 9th Floor Chicago, Illinois
60606 Delaware
limited partnership Citadel
Investment Group, L.L.C. 225 W.
Washington 9th Floor Chicago,
Illinois 60606 Delaware
limited liability company Kenneth
Griffin 225 W.
Washington 9th Floor Chicago,
Illinois 60606 U.S. Citizen Citadel Wellington
Partners L.P. c/o Citadel
Investment Group, L.L.C. 225 W.
Washington 9th Floor Chicago,
Illinois 60606 Illinois
limited partnership |
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*CUSIP No. 219350105*
Citadel Equity Fund Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Bermuda company Citadel Kensington Global Strategies Fund Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Bermuda company Aragon Investments, Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Bermuda company Citadel Jackson Investment Fund Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Cayman Islands company Citadel Trading Group L.L.C. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Delaware limited liability company Citadel Edison Fund L.P. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Delaware limited partnership
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*CUSIP No. 219350105*
| | (d) | Citadel
Edison Fund Ltd. c/o Citadel
Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago,
Illinois 60606 Cayman
Islands company Citadel
Edison Investments Ltd. c/o Citadel
Investment Group, L.L.C. 225 W.
Washington 9th Floor Chicago,
Illinois 60606 Cayman
Islands Company Wolfe
Trading II L.L.C. c/o Citadel
Investment Group, L.L.C. 225 W.
Washington 9th Floor Chicago,
Illinois 60606 Delaware
limited liability company Saragossa
Trading LLC c/o Citadel
Investment Group, L.L.C. 225 W.
Washington 9th Floor Chicago,
Illinois 60606 Delaware
limited liability company — Title of Class of Securities Common Stock, par value $0.50 per share | |
| --- | --- | --- | --- |
| | (e) | CUSIP Number 219350105. | |
| Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b)
or (c), check whether the person filing is a: | | |
| | (a) | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C.
78o). |
| | (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
| | (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15
U.S.C. 78c). |
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*CUSIP No. 219350105*
| (d) | [ ] | Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C 80a-8). |
| --- | --- | --- |
| (e) | [ ] | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with
§240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with §
240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment
company under section 3(c)(14) of the Investment Company Act of 1940 (15
U.S.C. 80a-3); |
| (j) | [ ] | Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
| If this
statement is filed pursuant to Rule 13d-1(c), check this box [X]. | | |
| Item 4. |
|---|
| CITADEL |
LIMITED PARTNERSHIP GLB
PARTNERS, L.P. CITADEL
INVESTMENT GROUP, L.L.C. KENNETH
GRIFFIN CITADEL
WELLINGTON PARTNERS L.P. CITADEL
EQUITY FUND LTD. CITADEL
KENSINGTON GLOBAL STRATEGIES FUND LTD. ARAGON
INVESTMENTS, LTD. CITADEL
JACKSON INVESTMENT FUND LTD. CITADEL
TRADING GROUP L.L.C. CITADEL
EDISON FUND L.P. CITADEL
EDISON FUND LTD. CITADEL
EDISON INVESTMENTS LTD. WOLFE TRADING
II L.L.C. SARAGOSSA
TRADING LLC |
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*CUSIP No. 219350105*
| Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1. — (a) | Amount beneficially owned: $3,350,000
in principal amount of 3.5% Convertible Debentures (convertible into
346,253 shares of Common Stock) (1) Call Options to purchase 160,000 shares of Common Stock (1) 132,371 shares of Common Stock | |
| --- | --- | --- |
| (b) | Percent of class: Approximately
0.1% as of December 31, 2002. (Based
on 1,147,999,772 shares of Common Stock issued and outstanding as of
September 30, 2002, plus the shares of Common Stock issuable upon the
conversion of the 3.5% Convertible Debentures referred to in item (a) above.) | |
| (c) | Number of shares as to which the person has: | |
| | (i) | Sole power to vote or to direct the vote 0 |
| | (ii) | Shared power to vote or to direct the vote See item (a) above. |
| | (iii) | Sole power to dispose or to direct the disposition of 0 |
| | (iv) | Shared power to dispose or to direct the disposition of See item (a)
above. |
| (1) The securities reported herein include (i) 132,371 shares of Common Stock,
(ii) 346,253 shares of Common Stock that the Reporting Persons may acquire in
the future through the conversion of $3,350,000 in principal amount of the
Companys 3.5% Convertible Debentures due November 1, 2008, which may be
converted by the Reporting Persons, at any time prior to maturity, into
shares of the Companys Common Stock and (iii) 160,000 shares of Common Stock
that the Reporting Persons may acquire in the future through the exercise of
exchange traded call options. The
current conversion rate for the 3.5% Convertible Debentures is 103.3592
shares of Common Stock for each $1,000 in principal amount. | | |
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*CUSIP No. 219350105*
| Item 5. | Ownership of Five Percent or Less of a Class |
|---|---|
| If this |
Statement is being filed to report the fact that as of the date hereof the
Reporting Persons have ceased to be the beneficial owner of more than five
percent of the class of securities, check the following [X]. |
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
| | Not
Applicable. |
| Item 7. | Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company or Control
Person |
| | See Item 2
above. |
| Item 8. | Identification and Classification of Members of the Group |
| | Not
Applicable. |
| Item 9. | Notice of Dissolution of Group |
| | Not
Applicable. |
| Item 10. | Certification |
| | By signing
below I certify that, to the best of my knowledge and belief, the securities
referred to above were not acquired and are not held for the purpose of or
with the effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect. |
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*CUSIP No. 219350105*
After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated this 12th day of February, 2003
| | | /s/ Kenneth
Griffin | |
| --- | --- | --- | --- |
| | | Kenneth
Griffin | |
| CITADEL LIMITED PARTNERSHIP | | CITADEL INVESTMENT GROUP, L.L.C. | |
| By: | GLB
Partners, L.P., | By: | /s/ Kenneth
Griffin |
| | its General
Partner | | Kenneth Griffin,
President |
| By: | Citadel
Investment Group, L.L.C., | | |
| | its General
Partner | CITADEL EQUITY FUND LTD. | |
| By: | /s/ Kenneth
Griffin | By: | Citadel
Limited Partnership, its Portfolio Manager |
| | Kenneth
Griffin, President | | |
| GLB PARTNERS, L.P. | | By: | GLB Partners,
L.P., its General Partner |
| By: | Citadel
Investment Group, L.L.C., its General Partner | By: | Citadel
Investment Group, L.L.C., its General Partner |
| By: | /s/ Kenneth
Griffin | By: | /s/ Kenneth
Griffin |
| | Kenneth
Griffin, President | | Kenneth
Griffin, President |
| CITADEL KENSINGTON GLOBAL STRATEGIES FUND LTD. — By: | Citadel
Limited Partnership, its Portfolio Manager | CITADEL EDISON INVESTMENTS LTD. — By: | Citadel
Limited Partnership, its Portfolio Manager |
| --- | --- | --- | --- |
| By: | GLB
Partners, L.P., its General Partner | By: | GLB
Partners, L.P., its General Partner |
| By: | Citadel
Investment Group, L.L.C., its General Partner | By: | Citadel
Investment Group, L.L.C., its General Partner |
| By: | /s/ Kenneth
Griffin | By: | /s/ Kenneth
Griffin |
| | Kenneth
Griffin, President | | Kenneth
Griffin, President |
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*CUSIP No. 219350105*
| ARAGON INVESTMENTS, LTD. — By: | Citadel
Limited Partnership, its Portfolio Manager | CITADEL EDISON FUND LTD. — By: | Citadel Limited
Partnership, its Portfolio Manager |
| --- | --- | --- | --- |
| By: | GLB
Partners, L.P., its General Partner | By: | GLB
Partners, L.P., its General Partner |
| By: | Citadel
Investment Group, L.L.C., its General Partner | By: | Citadel
Investment Group, L.L.C., its General Partner |
| By: | /s/ Kenneth
Griffin | By: | /s/ Kenneth
Griffin |
| | Kenneth
Griffin, President | | Kenneth
Griffin, President |
| CITADEL WELLINGTON PARTNERS L.P. | | CITADEL TRADING GROUP L.L.C. | |
| By: | Citadel
Limited Partnership, its General Partner | By: | Citadel
Limited Partnership, its Manager |
| By: | GLB
Partners, L.P., its General Partner | By: | GLB
Partners, L.P., its General Partner |
| By: | Citadel
Investment Group, L.L.C., its General Partner | By: | Citadel
Investment Group, L.L.C., its General Partner |
| By: | /s/ Kenneth
Griffin | By: | /s/ Kenneth
Griffin |
| | Kenneth
Griffin, President | | Kenneth
Griffin, President |
| CITADEL EDISON FUND L.P. — By: | Citadel
Limited Partnership, its General Partner | CITADEL JACKSON INVESTMENT FUND LTD. — By: | Citadel
Limited Partnership, its Portfolio Manager |
| --- | --- | --- | --- |
| By: | GLB
Partners, L.P., its General Partner | By: | GLB
Partners, L.P., its General Partner |
| By: | Citadel
Investment Group, L.L.C., its General Partner | By: | Citadel
Investment Group, L.L.C., its General Partner |
| By: | /s/ Kenneth
Griffin | By: | /s/ Kenneth
Griffin |
| | Kenneth
Griffin, President | | Kenneth
Griffin, President |
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*CUSIP No. 219350105*
| WOLFE TRADING II L.L.C. | |
|---|---|
| By: | /s/ Kenneth |
Griffin |
| | Kenneth
Griffin, Member |
| SARAGOSSA TRADING
LLC | |
| By: | /s/ Kenneth
Griffin |
| | Kenneth
Griffin, President |
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