SEC Form 4 · accession 0001127602-17-026090
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Werner J Schweiger
Officer — Executive VP and COO
Period of report
Aug 17, 2017
Accepted (ET)
Aug 21, 2017 · 4:10 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 | holding | — | — | — | 160,398 | D | ||
| Common Shares, $5.00 par valueF2 | holding | — | — | — | 10,026 | I | 401k 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 SharesF3,F4 | — | Aug 17, 2017 | I | 21,817 | D | — | — | Common Shares, $5.00 par value | 21,817 | 87,270 | D |
Explanation of responses
- F1Includes deferred shares, restricted share units and dividend equivalents thereon.
- F2Shares held in trust under the Eversource 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
- F3Reporting 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.
- F4Each phantom share was the economic equivalent of one Eversource energy common share. Phantom shares could be transferred into alternative investment funds at any time.