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EVERSOURCE ENERGY — Director's Dealing 2017
Feb 14, 2017
30196_dirs_2017-02-14_039d0843-6cd7-4a7b-8926-f9d3bbc30e19.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: EVERSOURCE ENERGY (ES)
CIK: 0000072741
Period of Report: 2016-12-31
Reporting Person: LEMBO PHILIP J (EVP, CFO and Treasurer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-08-16 | Common Shares, $5.00 par value | G | 140 | — | Disposed | 10327 | Direct |
| 2016-11-28 | Common Shares, $5.00 par value | G | 100 | — | Disposed | 10327 | Direct |
| 2016-08-16 | Common Shares, $5.00 par value | G | 140 | — | Disposed | 10327 | Direct |
| 2016-11-30 | Common Shares, $5.00 par value | G | 100 | — | Disposed | 10327 | Direct |
| 2016-08-16 | Common Shares, $5.00 par value | G | 140 | — | Acquired | 396 | Indirect |
| 2016-08-16 | Common Shares, $5.00 par value | G | 140 | — | Disposed | 10327 | Direct |
| 2016-11-28 | Common Shares, $5.00 par value | G | 100 | — | Acquired | 396 | Indirect |
| 2016-11-28 | Common Shares, $5.00 par value | G | 100 | — | Disposed | 10327 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares, $5.00 par value | 396 | Indirect |
| Common Shares, $5.00 par value | 2575 | Indirect |
Footnotes
F1: Includes restricted share units and dividend equivalents thereon.
F2: Bona fide gift to custodial account for which reporting person is the custodian. The reporting person disclaims any pecuniary interest in the accounts' assets or the donated shares.
F3: These shares are held in an account for the reporting person's minor grandchild and the reporting person is the custodian of the account. The reporting person disclaims ownership of the shares held in the custodial account, and this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
F4: The reporting person indirectly owned 150 shares of common stock in a custodial account for his grandchild on May 4, 2016, the date on which the reporting person became subject to Section 16 reporting requirements.
F5: Shares held in trust under the Eversource 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.