Annual Statement of Changes in Beneficial Ownership (5)
February 14 2017 - 6:26PM
Edgar (US Regulatory)
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
[
X
]
Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
LEMBO PHILIP J
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2. Issuer Name
and
Ticker or Trading Symbol
EVERSOURCE ENERGY [ES]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP, CFO and Treasurer
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(Last)
(First)
(Middle)
300 CADWELL DRIVE
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2016
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(Street)
SPRINGFIELD, MA 01104
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Common Shares, $5.00 par value
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8/16/2016
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G
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140
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D
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$0
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10327
(1)
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D
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Common Shares, $5.00 par value
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11/28/2016
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G
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100
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D
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$0
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10327
(1)
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D
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Common Shares, $5.00 par value
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8/16/2016
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G
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140
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D
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$0
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10327
(1)
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D
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Common Shares, $5.00 par value
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11/30/2016
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G
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100
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D
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$0
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10327
(1)
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D
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Common Shares, $5.00 par value
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8/16/2016
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G
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140
(2)
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A
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$0
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396
(3)
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I
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Custodial Account for grandchild
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Common Shares, $5.00 par value
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8/16/2016
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G
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140
(2)
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D
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$0
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10327
(1)
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D
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Common Shares, $5.00 par value
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11/28/2016
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G
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100
(2)
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A
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$0
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396
(3)
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I
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Custodial Account for grandchild
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Common Shares, $5.00 par value
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11/28/2016
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G
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100
(2)
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D
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$0
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10327
(1)
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D
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Common Shares, $5.00 par value
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3
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396
(3)
(4)
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I
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Custodial Account for Grandchild
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Common Shares, $5.00 par value
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2575
(5)
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I
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401K Plan (Trustee)
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Includes restricted share units and dividend equivalents thereon.
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(
2)
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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.
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(
3)
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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.
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(
4)
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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.
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(
5)
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Shares held in trust under the Eversource 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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LEMBO PHILIP J
300 CADWELL DRIVE
SPRINGFIELD, MA 01104
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EVP, CFO and Treasurer
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Signatures
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/s/ Kerry J. Tomasevich, attorney-in-fact for Mr. Lembo
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2/14/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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