Form 5

-----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, J5+kwCB8XBg4cDwLzLHhIF7a6AVjzGurzoH8f+9LfDcMDmazipKm3yguWauRH9BB ufKyooxl0kEi2+DSFwS6NQ== 0000205716-03-000088.txt : 20030213 0000205716-03-000088.hdr.sgml : 20030213 20030213150230 ACCESSION NUMBER: 0000205716-03-000088 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST UTILITIES SYSTEM CENTRAL INDEX KEY: 0000072741 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 042147929 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 03559010 BUSINESS ADDRESS: STREET 1: 174 BRUSH HILL AVE CITY: WEST SPRINGFIELD STATE: MA ZIP: 01090-0010 BUSINESS PHONE: 4137855871 MAIL ADDRESS: STREET 1: 107 SELDON ST CITY: BERLIN STATE: CT ZIP: 06037-1616 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: THIBDAUE LISA J CENTRAL INDEX KEY: 0001192217 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: NORTHEAST UTILITIES 107 SELDEN ST CITY: BERLIN STATE: CT ZIP: 06037 BUSINESS PHONE: 8606656000 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 107 WELDEN ST CITY: BERLIN STATE: CT ZIP: 06037 5 1 thibdaueform5030213.htm FORM 5 Form 5

FORM 5

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB APPROVAL

|X| Check this box if no longer subject
       to Section 16. Form 4 or Form 5
       obligations may continue.
       See Instruction 1(b).
|_| Form 3 Holdings Reported
|_| Form 4 Transactions Reported

ANNUAL STATEMENT OF CHANGES BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the
Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

OMB Number: 3235-0362
Expires: January 31, 2005
Estimated average burden
hours per response. . .1.0

1. Name and Address of Reporting Person* Thibdaue Lisa J.		2. Issuer Name and Ticker or Trading Symbol NORTHEAST UTILITIES (NU)				6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) Vice President of service company subsidiary
(Last) (First) (Middle) c/o Northeast Utilities 107 Selden Street		3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)			4. Statement for Month/Year 12/2002
(Street) Berlin, CT 06037					5. If Amendment, Date of Original (Month/Year)	7. Individual or Joint/Group Filing (check applicable line) X Form Filed by One Reporting Person Form Filed by More than One Reporting Person
(City) (State) (Zip)		Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/ Day/Year)	2A. Deemed Execution Date, if any (Month/ Day/Year)	3. Transaction Code (Instr. 8)	4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 & 5)			5. Amount of Securities Beneficially Owned at the end of Issuer's Fiscal Year (Instr. 3 & 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/ Day/Year)		3. Transaction Code (Instr. 8)	Amount	(A) or (D)	Price			7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Shares, $5 par value							1,951 shs See Note 1	I	By 401k Plan trustee
Common Shares, $5 par value	2/23/2002		F	268 shs	A	$18.60	2,518 shs	D

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

FORM 5 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts calls warrants options, convertible securities)

1. Title of
    Derivative
    Security
    (Instr. 3)

2. Conver-
    sion or
    Exercise
    Price of
    Derivative
    Security

3. Trans-
    action
    Date
    (Month/
    Day/
    Year)

3A. Deemed
      Execution
      Date, if
      any
      (Month/
      Day/
      Year)

4. Trans-
    action
    Code
    (Instr.
    8)

5. Number of
    Derivative
    Securities
    Acquired (A) or
    Disposed of (D)
    (Instr. 3, 4 & 5)

6. Date
    Exercis-
    able and
    Expiration
    Date
    (Month/
    Day/Year)

7. Title and
    Amount of
    Underlying
    Securities
    (Instr. 3 & 4)

8. Price of
    Derivative
    Security
    (Instr. 5)

9. Number of
    Derivative
    Securities
    Beneficially
    Owned
    at End
    of Year
    (Instr. 4)

10. Owner-
    ship
    Form of
    Derivative
    Security:
    Direct (D)
    or
    Indirect (I)
    (Instr. 4)

11. Nature of
    Indirect
    Beneficial
    Ownership
    (Instr. 4)

(A)

(D)

Date
Exercisable

Expiration
Date

Title

Amount or Number of
Shares

Options to Purchase

$18.58

2/25/2002

9,100

See
Note 2

2/25
2012

NU Common
Shares, $5 par

9,100

N/A

42,844

Explanation of Responses:
Note 1. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, as of December 31, 2002, according to information suppled by the plan's recordkeeper.
Note 2. One-third on each of 2/25/2003, 2/25/2004, and 2/25/2005.

/s/ Lisa J. Thibdaue
**Signature of Reporting Person

February 6, 2003
Date

**Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.

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