FORM 5
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL |
OMB Number: 3235-0362 | |
Washington, D.C. 20549 | Estimated average burden |
hours per response... 1.0 |
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or
Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
SCHWEIGER WERNER J | EVERSOURCE ENERGY [ES] | _____ Director | _____ 10% Owner | |||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Statement for Issuer's Fiscal Year Ended | |||||||||||||||||||||||||
__X__ Officer (give title below) | _____ Other (specify below) | |||||||||||||||||||||||||||
(MM/DD/YYYY) | 12/31/2019 | |||||||||||||||||||||||||||
C/O EVERSOURCE ENERGY, 300 | Executive VP and COO | |||||||||||||||||||||||||||
CADWELL DRIVE | ||||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed(MM/DD/YYYY) 6. Individual or Joint/Group Filing(Check Applicable Line) | |||||||||||||||||||||||||||
SPRINGFIELD, MA 01104 | _X_ Form Filed by One Reporting Person | |||||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form Filed by More than One Reporting Person | |||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature of | |||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | Indirect | ||||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||||||||||||||||||||
Direct (D) | Ownership | |||||||||||||||||||||||||||
or Indirect | (Instr. 4) | |||||||||||||||||||||||||||
(A) or | (I) | |||||||||||||||||||||||||||
Amount | (D) | Price | (Instr. 4) | |||||||||||||||||||||||||
Common Shares, $5.00 par value | 3/1/2019 | G | 1299 | D | $0 | 4596 | I | By Werner | ||||||||||||||||||||
Schweiger | ||||||||||||||||||||||||||||
Trust | ||||||||||||||||||||||||||||
Common Shares, $5.00 par value | 3/1/2019 | G | 433 | A | $0 | 433 | I | Custodial | ||||||||||||||||||||
Account for | ||||||||||||||||||||||||||||
Grandchild | ||||||||||||||||||||||||||||
Common Shares, $5.00 par value | 3/5/2019 | G | 437 | D | $0 | 4596 | I | By Werner | ||||||||||||||||||||
Schweiger | ||||||||||||||||||||||||||||
Trust | ||||||||||||||||||||||||||||
Common Shares, $5.00 par value | 162719 (1) | D | ||||||||||||||||||||||||||
Common Shares, $5.00 par value | 437 | I | By Linda | |||||||||||||||||||||||||
Schweiger | ||||||||||||||||||||||||||||
Trust | ||||||||||||||||||||||||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||
1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number | 10. | 11. Nature | |||||||||||||||||
Security | Conversion | Date | Execution | Code | Derivative Securities | Expiration Date | Securities Underlying | Derivative | of | Ownership | of Indirect | |||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | (Instr. 8) | Acquired (A) or | (MM/DD/YYYY) | Derivative Security | Security | Derivative | Form of | Beneficial | ||||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Securities | Derivative | Ownership | ||||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Beneficially | Security: | (Instr. 4) | ||||||||||||||||||||||||
Security | Owned at | Direct (D) | ||||||||||||||||||||||||||
Date | Expiration | Amount or | End of | or Indirect | ||||||||||||||||||||||||
Title | Number of | Issuer's | (I) | |||||||||||||||||||||||||
(A) | (D) | Exercisable | Date | Shares | Fiscal Year | (Instr. 4) | ||||||||||||||||||||||
(Instr. 4) | ||||||||||||||||||||||||||||
Common | ||||||||||||||||||||||||||||
Phantom Shares | Shares, $5.00 | 61171 | 61171 | D | ||||||||||||||||||||||||
par value |
Explanation of Responses:
- Includes deferred shares, restricted share units and dividend equivalents thereon.
- 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 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.
Reporting Owners
Reporting Owner Name / Address | Relationships | |
Director 10% Owner Officer | Other |
SCHWEIGER WERNER J
C/O EVERSOURCE ENERGYExecutive VP and COO 300 CADWELL DRIVE
SPRINGFIELD, MA 01104
Signatures | ||
/s/ Kerry J. Tomasevich, attorney-in-fact for Mr. Schweiger | 2/7/2020 | |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- If the form is filed by more than one reporting person, see Instruction 4(b)(v).
- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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Eversource Energy published this content on 07 February 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 07 February 2020 22:27:05 UTC