SEC Form 4 · accession 0001209191-17-037719
Lumen Technologies, Inc. · LUMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stacey W Goff
Officer — EVP, CAO & GC
Period of report
Jun 1, 2017
Accepted (ET)
Jun 5, 2017 · 4:25 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 | Jun 1, 2017 | A | 11,484 | $0.00 | A | 195,814 | D | |
| Common Stock | Jun 1, 2017 | A | 187,920 | $0.00 | A | 383,734 | D | |
| Common Stock | holding | — | — | — | 2,395 | I | by 401(k) Plan | |
| Common StockF3 | holding | — | — | — | 3,308 | I | by ESOP | |
| Common StockF3 | holding | — | — | — | 730 | 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 that will vest on December 15, 2018, with the number of shares vesting ranging between 80-120% of this figure based on the Human Resources and Compensation Committee's subjective evaluation of the reporting person's individual performance on merger integration tasks.
- F2Represents a grant of time-based restricted stock that will vest one-third per year over three years following the grant date.
- F3This is a legacy defined contribution plan sponsored by the Issuer.