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EVERSOURCE ENERGY — Director's Dealing 2020
Feb 7, 2020
30196_dirs_2020-02-07_5a99e1a0-cf9e-486f-a97c-9973a9cfc8a3.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: EVERSOURCE ENERGY (ES)
CIK: 0000072741
Period of Report: 2020-02-05
Reporting Person: JUDGE JAMES J (President and CEO, Chairman of the Bd and Trustee)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-02-05 | Common Shares, $5.00 par value | A | 35849 | — | Acquired | 135618 | Direct |
| 2020-02-05 | Common Shares, $5.00 par value | A | 79304 | — | Acquired | 214922 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares, $5.00 par value | 27101 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Shares | $ | Common Shares, $5.00 par value (93275) | 93275 | Direct |
Footnotes
F1: Grant of restricted share units (RSUs) which vests in three equal installments on February 5, 2021, 2022, and 2023, subject to shareholder approval. Restricted share units are distributable in Eversource Energy 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.
F3: Performance shares and dividend equivalent shares for the 2017-2019 Long-Term Incentive Program as determined on February 5, 2020.
F4: Shares held in trust under the Eversource 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
F5: Reporting Person's deferred compensation under the Eversource Deferred Compensation Plan, a non-qualified deferred compensation plan, that is nominally invested as common shares. Each phantom share represents the right to receive one Eversource Energy 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.