SEC Form 4 · accession 0001127602-16-042953
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory B Butler
Officer — Sr VP and General Counsel
Period of report
Feb 19, 2016
Accepted (ET)
Feb 23, 2016 · 4:54 pm EST
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 | Feb 19, 2016 | F | 1,150 | $53.51 | D | 76,313 | D | |
| Common Shares, $5.00 par valueF1,F2 | Feb 19, 2016 | F | 1,050 | $53.51 | D | 75,263 | D | |
| Common Shares, $5.00 par valueF1,F2 | Feb 19, 2016 | F | 815 | $53.51 | D | 74,448 | D | |
| Common Shares, $5.00 par valueF1,F2 | Feb 22, 2016 | F | 5,598 | $54.67 | D | 68,849 | D | |
| Common Shares, $5.00 par valueF3 | holding | — | — | — | 5,156 | 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 | 212 | 212 | D |
Explanation of responses
- F1Disposition of common shares to satisfy tax withholding obligations.
- F2Includes 53,236 shares held jointly with spouse, restricted share units, and dividend equivalents thereon.
- F3Shares held in trust under the Eversource 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
- F4Reporting Person's deferred compensation under the Eversource Deferred Compensation Plan, 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.