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EVERSOURCE ENERGY — Director's Dealing 2014
Feb 7, 2014
30196_dirs_2014-02-06_485d8909-c180-4610-8df5-43a0ae15122b.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: 2014-02-04
Reporting Person: BUTLER GREGORY B (Sr VP, General Counsel & Secy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-04 | Common Shares, $5.00 par value | A | 8600 | — | Acquired | 155675 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares, $5.00 par value | 4419 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Shares | $ | Common Shares, $5.00 par value (198) | 198 | Direct |
Footnotes
F1: Grant of restricted share units (RSUs) which vests in three equal portions on February 4, 2014, 2015, and 2016. Restricted share units are distributable in Northeast Utilities common shares on a one-for-one basis. RSU holders are entitled to receive dividend equivalents, exempt from line item reporting under SEC Rule 16a-11, to the same extent dividends are paid on common shares.
F2: Includes restricted share units and dividend equivalents thereon. Also includes common shares that the reporting person holds jointly with his spouse.
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 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.