-----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, FVmEsqLB+zDn4ZS1APAfQpuvQ2KS5t322CMHOFh5BtV8jiYjnW2vfmft2Rri4nC3 hJmQ0o4d979S7djIGovWQA== 0000072741-09-000240.txt : 20091116 0000072741-09-000240.hdr.sgml : 20091116 20091116154821 ACCESSION NUMBER: 0000072741-09-000240 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091112 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SWOPE JOHN F CENTRAL INDEX KEY: 0001192354 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 091186560 MAIL ADDRESS: STREET 1: NORTHEAST UTILTIES STREET 2: 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 2009-11-12 0 0000072741 NORTHEAST UTILITIES NU 0001192354 SWOPE JOHN F C/O NORTHEAST UTILITIES ONE FEDERAL STREET, BUILDING 111-4 SPRINGFIELD MA 01105 0 0 0 1 Trustee Common Shares, $5.00 par value 2009-11-12 4 M 0 2500.0 18.438 A 36455.0 D Common Shares, $5.00 par value 2009-11-12 4 S 0 1971.0 23.482 D 34484.0 D Employee Stock Option (right to buy) 18.438 2009-11-12 4 M 0 2500.0 18.438 D 2001-02-22 2010-02-22 Common Shares, $5.00 par value 2500.0 0.0 D The options exercised to purchase 2,500 Common Shares were granted on February 22, 2000 and vested 50% on that date and 50% on February 22, 2001. Mr. Swope's total beneficial ownership includes restricted share units and dividend equivalents thereon, receipt of which has been deferred, and shares and dividends thereon, receipt of which has been deferred. Mr. Swope also beneficially owns 5,000 options to purchase Common Shares, the acquisition of which was previously reported on Form 4. John F. Swope, By: O. Kay Comendul/POA 2009-11-16 -----END PRIVACY-ENHANCED MESSAGE-----