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EVERSOURCE ENERGY — Director's Dealing 2014
Jan 29, 2014
30196_dirs_2014-01-29_ba1930ca-e3f7-4c24-b45a-a52a22510beb.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: 2014-01-27
Reporting Person: MAY THOMAS J (President, CEO & Trustee)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-27 | Common Shares, $5.00 par value | F | 34011 | $42.43 | Disposed | 266379 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares, $5.00 par value | 63384 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Shares | $ | Common Shares, $5.00 par value (855725) | 855725 | Direct |
Footnotes
F1: Disposition of deferred shares to satisfy tax withholding obligations upon distribution of deferred shares and dividend equivalent thereon.
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 NSTAR Deferred Compensation Plan, which was merged into the NU Deferred Compensation Plan effective January 1, 2014, which deferred compensation is nominally invested as common shares. Each phantom share represents the right to receive 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.
F5: The number of phantom shares has been adjusted to reflect an adjustment received from the NU Deferred Compensation Plan's record keeper. There was no sale, transfer or other disposition of phantom shares.