SEC Form 4 · accession 0001209191-15-069150
Lumen Technologies, Inc. · LUMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen A Puckett
Officer — President, Global Markets
Period of report
Aug 31, 2015
Accepted (ET)
Sep 2, 2015 · 5:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018926
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 31, 2015 | F | 14,588 | $27.04 | D | 266,309 | D | |
| Common StockF3 | Aug 31, 2015 | D | 58,948 | $0.00 | D | 207,361 | D | |
| Common Stock | holding | — | — | — | 1,436 | I | by 401(k) Plan | |
| Common Stock | holding | — | — | — | 2,607 | I | by ESOP | |
| Common Stock | holding | — | — | — | 28 | I | by Stock Bonus Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld to cover the taxes due upon the vesting of restricted stock.
- F2On August 31, 2015, these shares of unvested restricted stock were forfeited due to the Reporting Person's retirement.
- F3Includes 9,924 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report.