AI assistant
EVERSOURCE ENERGY — Director's Dealing 2014
Nov 24, 2014
30196_dirs_2014-11-24_80b0c896-4d75-4e78-af89-e9cb844915d9.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NORTHEAST UTILITIES (NU)
CIK: 0000072741
Period of Report: 2014-11-20
Reporting Person: Olivier Leon J (EVP-Business Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-11-20 | Common Shares, $5.00 par value | S | 100 | $50.014 | Disposed | 153417 | Direct |
| 2014-11-20 | Common Shares, $5.00 par value | S | 2042 | $50.0227 | Disposed | 151375 | Direct |
| 2014-11-20 | Common Shares, $5.00 par value | G | 2550 | — | Disposed | 148825 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares, $5.00 par value | 3151 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Shares | $ | Common Shares, $5.00 par value (3726) | 3726 | Direct |
Footnotes
F1: Includes restricted share units and dividend equivalents thereon.
F2: Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
F3: Reporting Person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that is nominally invested as common shares. Each phantom share represents the right to receive the cash value of one NU common share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from the line item reporting under SEC Rule 16a-11.