SEC Form 4 · accession 0001209191-17-013490
Lumen Technologies, Inc. · LUMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Stewart Ewing Jr.
Officer — Ex. VP & CFO
Period of report
Feb 20, 2017
Accepted (ET)
Feb 22, 2017 · 6:21 pm EST
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 | Feb 20, 2017 | D | 9,844 | $0.00 | D | 224,076 | D | |
| Common Stock | Feb 20, 2017 | F | 9,657 | $24.28 | D | 214,419 | D | |
| Common Stock | holding | — | — | — | 1,693 | I | by 401(k) Plan | |
| Common StockF3 | holding | — | — | — | 9,117 | I | by ESOP | |
| Common StockF3 | holding | — | — | — | 1,887 | I | by PAYSOP | |
| Common StockF3 | holding | — | — | — | 8,782 | I | by Stock Bonus Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of unvested restricted stock were forfeited due to a failure to achieve a specific level of performance required for vesting.
- F2Shares withheld to cover the taxes due upon the vesting of restricted stock.
- F3This is a legacy defined contribution plan sponsored by the Issuer.