Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lumen Technologies, Inc.CTL · Entity 3749 | Director | February 26, 2020 | February 28, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Lumen Technologies, Inc.
Report date February 26, 2020 · Filed February 28, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,203,497 |
Reported balance
After 2020-02-26 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-02-26 · Grant · Acquired 52,845 · Balance 1,203,497 F1: Represents the aggregate number of additional shares earned under the terms of two grants of performance-based restricted stock for which the performance period ended on 12/31/2019, as certified by the Human Resources and Compensation Committee. |
| Common StockSEC Table I · non-derivative | Direct | 1,035,439 |
Reported balance
After 2020-02-26 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2020-02-26 · Tax withholding · Disposed 168,058 · Balance 1,035,439 F2: Shares withheld to cover the taxes due upon the vesting of restricted stock. F3: Includes 1,939 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. |
| Common StockSEC Table I · non-derivative | Indirectby 401(k) | 20,518 |
Reported balance
Holding disclosure · report date 2020-02-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 20,518 |
| Common StockSEC Table I · non-derivative | Indirectby ESOP | 53,340 |
Reported balance
Holding disclosure · report date 2020-02-26 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 53,340 F4: This is a legacy defined contribution plan sponsored by the Issuer. |
| Common StockSEC Table I · non-derivative | Indirectby PAYSOP | 15,179 |
Reported balance
Holding disclosure · report date 2020-02-26 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 15,179 F4: This is a legacy defined contribution plan sponsored by the Issuer. |
| Common StockSEC Table I · non-derivative | Indirectby Stock Bonus Plan | 130,538 |
Reported balance
Holding disclosure · report date 2020-02-26 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 130,538 F4: This is a legacy defined contribution plan sponsored by the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the aggregate number of additional shares earned under the terms of two grants of performance-based restricted stock for which the performance period ended on 12/31/2019, as certified by the Human Resources and Compensation Committee.
F2: Shares withheld to cover the taxes due upon the vesting of restricted stock.
F3: Includes 1,939 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report.
F4: This is a legacy defined contribution plan sponsored by the Issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 26, 2020 Filed Feb 28, 2020 22:28 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Tax withholdingCommon Stock | 168,058 | $12.75 | $2,142,739.50 |
DisclosureSEC source: 0001209191-20-014065 · doc4.xml · nonDerivative · entry 2 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,035,439 F2 · kind: Shares withheld to cover the taxes due upon the vesting of restricted stock. F3 · balance_after: Includes 1,939 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| February 26, 2020 Filed Feb 28, 2020 22:28 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | GrantCommon Stock | 52,845 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014065 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,203,497 F1 · kind: Represents the aggregate number of additional shares earned under the terms of two grants of performance-based restricted stock for which the performance period ended on 12/31/2019, as certified by the Human Resources and Compensation Committee. Read SEC document |
| May 22, 2019 Filed May 24, 2019 22:08 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | GrantCommon Stock | 14,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-032818 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,150,652 F1 · kind: This grant of restricted stock will vest on May 22, 2020. Read SEC document |
| February 28, 2019 Filed Mar 5, 2019 00:16 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Tax withholdingCommon Stock | 58,020 | $13.19 | $765,283.80 |
DisclosureSEC source: 0001209191-19-016005 · doc4.xml · nonDerivative · entry 2 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,135,946 F2 · kind: Shares withheld to cover the taxes due upon the vesting of restricted stock. F3 · balance_after: Includes 1,939 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report (including an additional 537 shares acquired through the reinvestment of dividends since his last Form 4). Read SEC document |
| February 28, 2019 Filed Mar 5, 2019 00:16 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Disposition to issuerCommon Stock | 40,478 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-016005 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,193,966 F1 · kind: These shares of unvested restricted stock were forfeited due to a failure to achieve a specific level of performance required for vesting. Read SEC document |
| August 21, 2018 Filed Aug 22, 2018 21:19 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | SaleCommon Stock | 150,000 | $24.00 | $3,600,075.00 |
DisclosureSEC source: 0001209191-18-048006 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,233,907 F1 · price: The price reported represents the weighted average price of the shares sold. Shares were sold at varying prices in the range of $24.00 - $24.035. The Reporting Person hereby undertakes, upon request of the Staff of the U.S. Securities and Exchange Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. F2 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 21:37 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | SaleCommon Stock | 150,000 | $22.00 | $3,300,000.00 |
DisclosureSEC source: 0001209191-18-046867 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,383,907 F1 · price: The price reported represents the weighted average price of the shares sold. Shares were sold at varying prices in the range of $22.00 - $22.01. The Reporting Person hereby undertakes, upon request of the Staff of the U.S. Securities and Exchange Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. F2 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| May 24, 2018 Filed May 25, 2018 21:19 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | GrantCommon Stock | 8,744 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-033597 · doc4.xml · nonDerivative · entry 3 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,533,907 F3 · kind: This grant of restricted stock will vest on May 24, 2019. F4 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| May 23, 2018 Filed May 25, 2018 21:19 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Tax withholdingCommon Stock | 130,969 | $19.01 | $2,489,720.69 |
DisclosureSEC source: 0001209191-18-033597 · doc4.xml · nonDerivative · entry 2 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,525,163 F2 · kind: Shares withheld to cover the taxes due upon the vesting of time-based restricted stock. Read SEC document |
| May 23, 2018 Filed May 25, 2018 21:19 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Disposition to issuerCommon Stock | 245,787 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-033597 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,656,132 F1 · kind: These shares of unvested restricted stock were forfeited upon the Reporting Person's retirement. Read SEC document |
| February 23, 2018 Filed Feb 26, 2018 23:15 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Tax withholdingCommon Stock | 53,023 | $18.21 | $965,548.83 |
DisclosureSEC source: 0001209191-18-013556 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,901,919 F1 · kind: Shares withheld to cover the taxes due upon the vesting of shares of restricted stock. F2 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 22:25 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Disposition to issuerCommon Stock | 81,486 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-013100 · doc4.xml · nonDerivative · entry 3 POST GLEN F III · CIK 0001202860 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,954,942 F3 · kind: These shares of unvested restricted stock were forfeited due to a failure to achieve a specific level of performance required for vesting. F4 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 22:25 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | GrantCommon Stock | 491,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-013100 · doc4.xml · nonDerivative · entry 2 POST GLEN F III · CIK 0001202860 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,036,428 F2 · kind: Represents 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. Vesting of the performance-based portion is dependent upon the extent to which the two-year performance metric is achieved, with any earned shares vesting in two equal installments on February 21 of each of 2020 and 2021. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 22:25 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Tax withholdingCommon Stock | 13,285 | $17.90 | $237,801.50 |
DisclosureSEC source: 0001209191-18-013100 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,544,854 F1 · kind: Shares withheld to cover the taxes due upon the vesting of time-based restricted stock. Read SEC document |
| December 08, 2017 Filed Dec 9, 2017 00:29 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | PurchaseCommon Stock | 50,000 | $14.17 | $708,500.00 |
DisclosureSEC source: 0001209191-17-064867 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,558,139 F1 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:27 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | GrantCommon Stock | 62,640 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-037725 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,508,139 F1 · kind: Represents 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. F2 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 22:05 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Tax withholdingCommon Stock | 34,204 | $24.71 | $845,180.84 |
DisclosureSEC source: 0001209191-17-014862 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,445,499 F1 · kind: Shares withheld to cover the taxes due upon the vesting of restricted stock. F2 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| February 21, 2017 Filed Feb 23, 2017 22:12 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | GrantCommon Stock | 338,404 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-013888 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,479,703 F1 · kind: Represents 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. F2 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| February 20, 2017 Filed Feb 22, 2017 23:24 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Tax withholdingCommon Stock | 61,093 | $24.28 | $1,483,338.04 |
DisclosureSEC source: 0001209191-17-013495 · doc4.xml · nonDerivative · entry 2 POST GLEN F III · CIK 0001202860 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,141,299 F2 · kind: Shares withheld to cover the taxes due upon the vesting of restricted stock. F3 · balance_after: Includes 1,402 shares held in the Issuer's ESPP for the benefit of the Reporting Person as of the date of this report. Read SEC document |
| February 20, 2017 Filed Feb 22, 2017 23:24 UTC | Lumen Technologies, Inc. CTL · Entity 3749 | Disposition to issuerCommon Stock | 47,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-013495 · doc4.xml · nonDerivative · entry 1 POST GLEN F III · CIK 0001202860 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,202,392 F1 · kind: These shares of unvested restricted stock were forfeited due to a failure to achieve a specific level of performance required for vesting. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.