SEC Form 4 · accession 0001127602-15-019758
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Nolan Jr.
Officer — SVP-Corporate Relations
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 5:30 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 | Jun 1, 2015 | S | 4,500 | $49.49 | D | 32,675 | D | |
| Common Shares, $5.00 par valueF1 | Jun 1, 2015 | S | 200 | $49.50 | D | 32,475 | D | |
| Common Shares, $5.00 par valueF1 | Jun 1, 2015 | S | 300 | $49.51 | D | 32,175 | D | |
| Common Shares, $5.00 par valueF2 | holding | — | — | — | 16,118 | I | 401k Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom SharesF3 | — | holding | — | — | — | — | — | Common Shares, $5.00 par value | 51,045 | 51,045 | 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 deferred compensation plan, that is nominally invested as common shares. Each phantom share represents the right to receive the cash value of one Eversource Energy 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.