SEC Form 4 · accession 0001127602-15-019757
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christine M Carmody
Officer — SVP - Human Resources
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 5:28 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 | holding | — | — | — | 52,152 | D | ||
| Common Shares, $5.00 par valueF2 | holding | — | — | — | 6,864 | I | 401k |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF5,F3,F4 | — | Jun 1, 2015 | I | 18,368 | D | — | — | Common Shares, $5.00 par value | 18,368 | 0 | D |
Explanation of responses
- F1Includes restricted share units and dividend equivalents thereon.
- F2Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
- F3Reporting Person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified plan deferred compensation plan that is nominally invested in Eversource Energy common shares.
- F4Each phantom share was the economic equivalent of one Eversource Energy common share. Phantom shares could be transferred into alternative investment funds at any time.
- F5The value of the phantom shares was based on the Eversource Energy common share closing price on the Transaction Date.