-----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, FmO2B4l9Wra+O2KaBopYkm5/o+UHQRyHcYU3RaXoVgCaouvsWwj0bRCjfss4QNi8 iMZ5xs6Le2DjA6MD1twWAg== 0000072741-10-000053.txt : 20100202 0000072741-10-000053.hdr.sgml : 20100202 20100202153641 ACCESSION NUMBER: 0000072741-10-000053 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100129 FILED AS OF DATE: 20100202 DATE AS OF CHANGE: 20100202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHIVERY CHARLES W CENTRAL INDEX KEY: 0001054818 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 10566790 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES SERVICE COMPANY 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 2010-01-29 0 0000072741 NORTHEAST UTILITIES NU 0001054818 SHIVERY CHARLES W C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 0 1 0 0 Chrmn of Bd, Pres &CEO/Ttee Common Shares, $5.00 par value 411330.0 D Common Shares, $5.00 par value 1754.0 I 401K Plan Phantom Shares 2010-01-29 4 A 0 1036.0 22.88 A Common Shares 1036.0 7548.0 D Includes restricted share units and dividend equivalents thereon. In addition, the reporting person holds 29,024 options to purchase Common Shares, previously reported on Form 4. Included among shares directly held are 453 shares acquired on July 31, 2009 and 537 shares acquired on January 29, 2010, pursuant to the Northeast Employee Stock Purchase Plan II, a Section 423(b) plan under the Internal Revenue Code, which shares are exempt from Form 4 reporting. Of the total shares owned, the reporting person holds 1,500 of these shares jointly with his spouse. Shares held in trust under the Northeast Utilities Service Company 401K Plan, a qualified plan as of January 29, 2010, according to information supplied by the Plan's recordkeeper. Matching contributions of reporting person's deferred compensation contributions in 2009 under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that are nominally invested as Common Shares (hereby referred to as phantom shares). While the average share price for the matching contributions was $22.88, the actual price was determined on the applicable payroll date on which the deferred compensation contribution was made. 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 the line item reporting under SEC Rule 16a-11. Charles W. Shivery 2010-02-01 -----END PRIVACY-ENHANCED MESSAGE-----