-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, F/Yj5kyW7VyJ/PI5Riuxho5hwXC2vDP+7AylrDjUdzq5j/qqXJ+Hn6UXf1frf45z oPqTy8roMkBlUkRwR+8bLg== 0000072741-09-000206.txt : 20090827 0000072741-09-000206.hdr.sgml : 20090827 20090827133800 ACCESSION NUMBER: 0000072741-09-000206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090825 FILED AS OF DATE: 20090827 DATE AS OF CHANGE: 20090827 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LaVecchia Jean M CENTRAL INDEX KEY: 0001415289 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 091038832 MAIL ADDRESS: STREET 1: 107 SELDEN STREET CITY: BERLIN STATE: CT ZIP: 06037 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST UTILITIES CENTRAL INDEX KEY: 0000072741 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 042147929 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE FEDERAL STREET STREET 2: BUILDING 111-4 CITY: SPRINGFIELD STATE: MA ZIP: 01105 BUSINESS PHONE: 8606655000 MAIL ADDRESS: STREET 1: 107 SELDEN ST CITY: BERLIN STATE: CT ZIP: 06037-1616 FORMER COMPANY: FORMER CONFORMED NAME: NORTHEAST UTILITIES SYSTEM DATE OF NAME CHANGE: 19961121 4 1 main4.xml PRIMARY DOCUMENT X0303 4 2009-08-25 0 0000072741 NORTHEAST UTILITIES NU 0001415289 LaVecchia Jean M C/O NORTHEAST UTILITIES 107 SELDEN STREET BERLIN CT 06037 0 1 0 0 VP Human Resources Common Shares, $5.00 par value 2009-08-25 4 M 0 8900.0 18.58 A 35923.0 D Common Shares, $5.00 par value 2009-08-25 4 S 0 8900.0 24.5 D 27023.0 D Common Shares, $5.00 par value 2209.0 I 401k Plan Employee Stock Option (right to buy) 18.58 2009-08-25 4 M 0 8900.0 18.58 D 2012-02-25 Common Shares, $5.00 par value 8900.0 9000.0 D Phanton Shares Common Shares, $5.00 Par Value 0.0 374.0 D The options exercised to purchase 8,900 Northeast Utilities common shares at $18.58 were granted on February 25, 2002 and vested in thirds on February 25, 2003, 2004 and 2005. Includes restricted share units and reinvested dividend equivalents; in addition Ms. LaVecchia also directly holds 9,000 stock options to purchase Northeast Utilities common shares, previously reported on Form 3. Sale in connection with cashless exercise of stock options. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, as of August 25, 2009, according to information supplied by the Plan's record keeper. The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan (the DCP), made as matching contributions under the DCP. Each phantom share represents the right to receive the cash value of one share of NU common 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. Jean M. LaVecchia 2009-08-27 -----END PRIVACY-ENHANCED MESSAGE-----