SEC Form 4 · accession 0001127602-16-058152
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J May
Other
Period of report
Jul 15, 2016
Accepted (ET)
Jul 18, 2016 · 5:27 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 | Jul 15, 2016 | A | 1,140 | $0.00 | A | 316,709 | D | |
| Common Shares, $5.00 par valueF3 | holding | — | — | — | 69,979 | 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 SharesF4 | — | holding | — | — | — | — | — | Common Shares, $5.00 par value | 928,596 | 928,596 | D |
Explanation of responses
- F1Restricted share units that vested on July 18, 2016, receipt of which has been deferred. Distribution will be made on a one-for-one basis in Common Shares on the 10th day of January following the reporting person's retirement from Board services.
- F2The reporting person's total includes vested restricted share units, receipt of which has been deferred, 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 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.