SEC Form 4 · accession 0001209191-17-013494
Lumen Technologies, Inc. · LUMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maxine L Moreau
Officer — President, Consumer Markets
Period of report
Feb 20, 2017
Accepted (ET)
Feb 22, 2017 · 6:23 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 | 2,564 | $0.00 | D | 70,221 | D | |
| Common StockF3 | Feb 20, 2017 | F | 2,618 | $24.28 | D | 67,603 | D | |
| Common Stock | holding | — | — | — | 1,382 | I | by 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 973 | I | by ESOP | |
| Common StockF4 | holding | — | — | — | 2 | 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.
- F3Includes 4,137 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report.
- F4This is a legacy defined contribution plan sponsored by the Issuer.