-----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, FlZoj85ChWMOJfK7YCBuf69qPBJCa2gMISQJ7+yn1sMydUe8Ah186OeAej077VU8 oiryLwF4EPNAZnbb6jPZWA== 0000072741-10-000065.txt : 20100210 0000072741-10-000065.hdr.sgml : 20100210 20100210101259 ACCESSION NUMBER: 0000072741-10-000065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100209 FILED AS OF DATE: 20100210 DATE AS OF CHANGE: 20100210 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: 10586426 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 2010-02-09 0 0000072741 NORTHEAST UTILITIES NU 0001054818 SHIVERY CHARLES W C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 0 1 0 1 Chrmn of Bd, Pres & CEO Trustee Common Shares, $5.00 par value 2010-02-09 4 A 0 30157.0 25.74 A 441487.0 D Common Shares, $5.00 par value 1754.0 I 401K Plan Phantom Shares Common Shares, $5.00 par value 0.0 7548.0 D Grant of restricted share units which vest in equal portions on February 25, 2011, 2012, 2013, distribution of which is delayed until after retirement. Restricted share units are distributable in Northeast Utilities common shares on a one-for-one basis. Includes restricted share units and reinvested dividend equivalents thereon. In addition the reporting person directly holds 29,024 stock options to purchase common shares, previously reported on Form 4. Of the total shares owned, the reporting person holds 1,500 shares jointly with his spouse. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, as of February 9, 2010, 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. Additional phantom shares are issued from the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule 16a-11. Charles W. Shivery 2010-02-10 -----END PRIVACY-ENHANCED MESSAGE-----