SEC Form 5 · accession 0001127602-17-006125
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip J Lembo
Officer — EVP, CFO and Treasurer
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 6:09 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 | Aug 16, 2016 | G | 140 | $0.00 | D | 10,327 | D | |
| Common Shares, $5.00 par valueF1 | Nov 28, 2016 | G | 100 | $0.00 | D | 10,327 | D | |
| Common Shares, $5.00 par valueF1 | Aug 16, 2016 | G | 140 | $0.00 | D | 10,327 | D | |
| Common Shares, $5.00 par valueF1 | Nov 30, 2016 | G | 100 | $0.00 | D | 10,327 | D | |
| Common Shares, $5.00 par valueF2,F3 | Aug 16, 2016 | G | 140 | $0.00 | A | 396 | I | Custodial Account for grandchild |
| Common Shares, $5.00 par valueF2,F1 | Aug 16, 2016 | G | 140 | $0.00 | D | 10,327 | D | |
| Common Shares, $5.00 par valueF2,F3 | Nov 28, 2016 | G | 100 | $0.00 | A | 396 | I | Custodial Account for grandchild |
| Common Shares, $5.00 par valueF2,F1 | Nov 28, 2016 | G | 100 | $0.00 | D | 10,327 | D | |
| Common Shares, $5.00 par valueF3,F4 | holding | — | — | — | 396 | I | Custodial Account for Grandchild | |
| Common Shares, $5.00 par valueF5 | holding | — | — | — | 2,575 | I | 401K Plan (Trustee) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes restricted share units and dividend equivalents thereon.
- F2Bona fide gift to custodial account for which reporting person is the custodian. The reporting person disclaims any pecuniary interest in the accounts' assets or the donated shares.
- F3These shares are held in an account for the reporting person's minor grandchild and the reporting person is the custodian of the account. The reporting person disclaims ownership of the shares held in the custodial account, and this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
- F4The reporting person indirectly owned 150 shares of common stock in a custodial account for his grandchild on May 4, 2016, the date on which the reporting person became subject to Section 16 reporting requirements.
- F5Shares held in trust under the Eversource 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.