SEC Form 4 · accession 0001127602-15-014441
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R McHale
Officer — EVP and Chief Admin Off
Period of report
Apr 10, 2015
Accepted (ET)
Apr 14, 2015 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000072741
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, $5.00 par valueF1,F2 | Apr 10, 2015 | F | 36,221 | $49.96 | D | 118,446 | D | |
| Common Shares, $5.00 par valueF3 | holding | — | — | — | 7,604 | I | By 401(k) Plan Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF4 | — | holding | — | — | — | — | — | Common Shares, $5.00 par value | 1,101 | 1,101 | D |
Explanation of responses
- F1Shares withheld to satisfy tax withholding obligation.
- F2Includes restricted share units and dividend equivalents thereon.
- F3Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
- F4Reporting Person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that is nominally invested as common shares. Each phantom share represents the right to receive the cash value of one NU common share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule 16a-11.