SEC Form 4 · accession 0001127602-17-004175
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J May
Other
Period of report
Feb 3, 2017
Accepted (ET)
Feb 6, 2017 · 7:34 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 3, 2017 | F | 26,750 | $55.32 | D | 175,637 | D | |
| Common Shares, $5.00 par valueF1,F2 | Feb 3, 2017 | F | 15,932 | $55.32 | D | 159,705 | D | |
| Common Shares, $5.00 par valueF1,F2 | Feb 3, 2017 | F | 9,187 | $55.32 | D | 150,518 | D | |
| Common Shares, $5.00 par valueF3 | holding | — | — | — | 71,143 | I | 401k Plan | |
| Common Shares, $5.00 par value | holding | — | — | — | 1,842 | I | May Family Investments LLC |
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 | 52,875 | 52,875 | D |
Explanation of responses
- F1Disposition of restricted share units to satisfy tax withholding obligations upon settlement.
- F2Includes 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 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.