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EVERSOURCE ENERGY — Director's Dealing 2014
Feb 26, 2014
30196_dirs_2014-02-25_8f2dcee5-85f4-44c4-8a81-0a5369bd99c5.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NORTHEAST UTILITIES (NU)
CIK: 0000072741
Period of Report: 2014-02-21
Reporting Person: Carmody Christine M (SVP - Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-21 | Common Shares, $5.00 par value | F | 506 | $44.97 | Disposed | 59872 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares, $5.00 par value | 6300 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Shares | $ | Common Shares, $5.00 par value (17627) | 17627 | Direct |
Footnotes
F1: Disposition of restricted share units to satisfy tax withholding obligations upon settlement.
F2: Includes restricted share units and dividend equivalents thereon.
F3: 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.
F4: 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 line item reporting under SEC Rule 16a-11.