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EVERSOURCE ENERGY — Director's Dealing 2014
Jan 17, 2014
30196_dirs_2014-01-17_f435be52-697a-4014-99bb-583832313306.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: 2014-01-15
Reporting Person: DiStasio James S (Trustee)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-15 | Common Shares, $5.00 par value | A | 2381 | — | Acquired | 6475 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Shares | $ | Common Shares, $5.00 par value (8302) | 8302 | Direct |
Footnotes
F1: Restricted share units that will vest on January 16, 2014, receipt of which has been deferred. Distribution will be made on a one-for-one basis in Common Shares on the 10th business day of January of the year following the reporting person's retirement from Board services.
F2: The reporting person's total includes restricted share units and shares, receipt of all of which has been deferred, and dividend equivalents thereon.
F3: Reporting Person's deferred compensation under the NSTAR Trustees' Deferred Plan, a non-qualified 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.