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