Trustee Nova Daniel J sold $45,405 worth of shares (755 units at $60.14) and bought $38,681 worth of shares (680 units at $56.88) (SEC Form 4)
$ES
Electric Utilities: Central
Utilities
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EVERSOURCE ENERGY [ ES ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/18/2023 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Shares, $5.00 par value | 4,209 | D | ||||||||
| Common Shares, $5.00 par value | 200(1) | I | By Family LLC | |||||||
| Common Shares, $5.00 par value | 5(2) | I | By Daniel Nova Trust | |||||||
| Common Shares, $5.00 par value | 5(3) | I | By Annette Nova Trust | |||||||
| Common Shares, $5.00 par value | 07/27/2023 | S(4) | 200 | D | $72.83 | 0(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 09/11/2023 | P(4) | 65 | A | $62.38 | 65(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 10/13/2023 | P(4) | 325 | A | $54.49 | 390(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 01/10/2024 | S(4) | 65 | D | $58.15 | 325(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 01/22/2024 | S(4) | 325 | D | $53.43 | 0(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 02/23/2024 | P(4) | 100 | A | $58.93 | 100(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 03/26/2024 | P(4) | 100 | A | $56.59 | 200(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 05/31/2024 | S(4) | 100 | D | $58.67 | 100(4) | I | By Family LLC | ||
| Common Shares, $5.00 par value | 07/18/2023 | P(4) | 5 | A | $71.29 | 10(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 08/17/2023 | S(4) | 10 | D | $64.46 | 0(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 09/27/2023 | P(4) | 5 | A | $58.85 | 5(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 10/31/2023 | S(4) | 5 | D | $53.72 | 0(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 01/03/2024 | P(4) | 20 | A | $64.28 | 20(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 01/16/2024 | S(4) | 20 | D | $56.43 | 0(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 02/23/2024 | P(4) | 25 | A | $58.93 | 25(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 03/26/2024 | P(4) | 25 | A | $56.59 | 50(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 05/31/2024 | S(4) | 25 | D | $58.67 | 25(4) | I | By Daniel Nova Trust | ||
| Common Shares, $5.00 par value | 08/21/2023 | S(4) | 5 | D | $63.82 | 0(4) | I | By Annette Nova Trust | ||
| Common Shares, $5.00 par value | 10/25/2023 | P(4) | 10 | A | $54.12 | 10(4) | I | By Annette Nova Trust | ||
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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 Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Explanation of Responses: |
| 1. Shares owned indirectly on June 1, 2023, by a family limited liability company ("Family LLC"), of which the Reporting Person is a manager. These shares were held in a discretionary brokerage account in which trades were made without the Reporting Person's knowledge and were inadvertently omitted from the Reporting Person's Form 3 filed on June 9, 2023, and from subsequent Section 16 filings. |
| 2. Shares owned indirectly on June 1, 2023, by the Daniel Nova Irrevocable Trust ("Daniel Nova Trust"), of which the Reporting Person is the grantor and the Reporting Person's spouse is a beneficiary. These shares were held in a discretionary brokerage account in which trades were made without the Reporting Person's knowledge and were inadvertently omitted from the Reporting Person's Form 3 filed on June 9, 2023, and from subsequent Section 16 filings. |
| 3. Shares owned indirectly on June 1, 2023, by the Annette Nova Irrevocable Trust ("Annette Nova Trust"), of which the Reporting Person's spouse is the grantor and the Reporting Person is a beneficiary. These shares were held in a discretionary brokerage account in which trades were made without the Reporting Person's knowledge and were inadvertently omitted from the Reporting Person's Form 3 filed on June 9, 2023, and from subsequent Section 16 filings. |
| 4. This transaction was conducted in a discretionary brokerage account in which trades were made without the Reporting Person's knowledge. This line item does not represent a current transaction. |
| Remarks: |
| The Reporting Person realized short-swing profits of $4,326 under Section 16(b) of the Securities Exchange Act of 1934, as amended, as a result of the purchases and sales of the Issuer's common shares reported herein. The Reporting Person has voluntarily disgorged to the Issuer all of such short-swing profits realized by the Reporting Person from such transactions. |
| /s/ Kerry J. Tomasevich, attorney-in-fact for Mr. Nova | 09/09/2024 | |
| ** 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 Number. | ||