0000072741-13-000016.txt : 20130307
0000072741-13-000016.hdr.sgml : 20130307
20130307193620
ACCESSION NUMBER: 0000072741-13-000016
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130305
FILED AS OF DATE: 20130307
DATE AS OF CHANGE: 20130307
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MAY THOMAS J
CENTRAL INDEX KEY: 0001101384
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05324
FILM NUMBER: 13674972
MAIL ADDRESS:
STREET 1: C/O NORTHEAST UTILITIES
STREET 2: ONE FEDERAL STREET, BUILDING 111-4
CITY: SPRINGFIELD
STATE: MA
ZIP: 01105
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2013-03-05
0
0000072741
NORTHEAST UTILITIES
NU
0001101384
MAY THOMAS J
C/O NORTHEAST UTILITIES
ONE FEDERAL STREET, BUIDLING 111-4
SPRINGFIELD
MA
01105
0
1
0
1
President and CEO
Trustee
Common Shares, $5.00 par value
2012-12-20
4
G
0
100000
0
D
294286
D
Common Shares, $5.00 par value
2012-12-20
4
G
0
100000
0
A
100000
I
By family trust
Common Shares, $5.00 par value
2013-03-05
4
S
0
100000
42.1171
D
0
I
By family trust
Common Shares, $5.00 par value
62325
I
401k Plan
Phantom Shares
Common Shares, $5.00 par value
826182
826182
D
Represents common shares held by a limited liability company (the "LLC"), of which the reporting person was a member. On December 20, 2012, the reporting person transferred membership interests of the LLC to his spouse and a family trust, of which the reporting person's spouse is a trustee for the benefit of certain members of the reporting person's family. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
Includes restricted share units and dividend equivalents thereon.
The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.42 to $42.71, inclusive. The reporting person undertakes to provide Northeast Utilities, any security holder of Northeast Utilities, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
Shares held in trust under the NSTAR 401k Plan, a qualified plan, according to information supplied by the plan's record keeper.
Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive one common share upon distribution, following vesting. The reporting person is eligible to receive dividend equivalents on the outstanding phantom shares, exempt from line item reporting under SEC Rule 16a-11.
Gregory B. Butler, attorney-in-fact for Mr. May
2013-03-07