SEC Form 4 · accession 0001209191-17-014051
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 21, 2017
Accepted (ET)
Feb 23, 2017 · 7:42 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 21, 2017 | A | 62,107 | $0.00 | A | 276,526 | D | |
| Common Stock | holding | — | — | — | 1,693 | I | by 401(k) Plan | |
| Common StockF2 | holding | — | — | — | 9,117 | I | by ESOP | |
| Common StockF2 | holding | — | — | — | 1,887 | I | by PAYSOP | |
| Common StockF2 | holding | — | — | — | 8,782 | I | by Stock Bonus Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a grant of restricted stock (40% time-based and 60% performance-based). The time-based portion will vest in three equal annual installments beginning one year from the date of grant. The performance-based portion is divided among two separate three-year performance metrics, which will vest on February 21, 2020 to the extent that the applicable metric is achieved.
- F2This is a legacy defined contribution plan sponsored by the Issuer.