SEC Form 5 · accession 0001127602-18-006151
EVERSOURCE ENERGY · ES
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leon J Olivier
Officer — EVP- Energy Strategy/Bus. Dev.
Period of report
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 6:06 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 | Nov 22, 2017 | G | 3,150 | $0.00 | D | 115,482 | D | |
| Common Shares, $5.00 par valueF2 | holding | — | — | — | 4,284 | 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 SharesF3 | — | holding | — | — | — | — | — | Common Shares, $5.00 par value | 4,132 | 4,132 | D |
Explanation of responses
- F1Includes 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.