-----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, NyjvyS7cfLlO5pH7oI1EWOW4W3NovHLt1Sn8k0DPIMtrHDeg3XFY9ESldNmPo0GX Jf61zGuoKAeZl5v5u8Wilw== 0000205716-03-000113.txt : 20030311 0000205716-03-000113.hdr.sgml : 20030311 20030311115317 ACCESSION NUMBER: 0000205716-03-000113 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030307 FILED AS OF DATE: 20030311 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CLEVELAND COTTON M CENTRAL INDEX KEY: 0001192334 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: NORTHEAST UTILTIES STREET 2: 107 SELDEN STREET CITY: BERLIN STATE: CT ZIP: 06037 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 03598963 BUSINESS ADDRESS: STREET 1: 174 BRUSH HILL AVE CITY: WEST SPRINGFIELD STATE: MA ZIP: 01090-0010 BUSINESS PHONE: 4137855871 MAIL ADDRESS: STREET 1: 107 SELDEN ST CITY: BERLIN STATE: CT ZIP: 06037-1616 4 1 cle030307.htm CLEVE FORM 4 030307 Form 4

FORM 4

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

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Check this box if no longer subject
to Section 16. Form 4 or Form 5 obligations may continue.

See Instruction 1(b).

STATEMENT OF CHANGES IN 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: 3235-0287
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1. Name and Address of Reporting Person*
        Cleveland        Cotton        M. 		2. Issuer Name and Ticker or Trading Symbol
       NORTHEAST UTILITIES (NU) 		6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
X    Director*                              10% Owner
      Officer (give title below)          Other (specify below)

          *Trustee                                

(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/Day/Year

   03/07/2003

(Street)

Berlin,                  CT                  06037

5. If Amendment,
Date of Original
(Month/Day/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.Trans-
    action
    Date
(Month/ Day/
Year)

2A. Deemed
    Execution
Date,if any
(Month/Day/
Year)

3. Trans-
action Code
(Instr. 8)

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

5. Amount of
Securities
Beneficially
Owned Following
Reported Transactions(s)
(Instr. 3 & 4)

6. Ownership
Form:
Direct (D)
or Indirect (I)
(Instr. 4)

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

Code

V

Amount

(A) or (D)

Price

Common Shares, $5 par value

03/07/2003

 

A

 

1,000 shs
See Note 1

A

$14.20

 

 

 

Common Shares, $5 par value

03/07/2003

 

A

 

1,000 shs

A

$14.10

9,128 shs
See Note 2

D

 

Common Shares, $5 par value

 

 

 

 

 

 

 

1,416 shs

I

By IRA
Trustee

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number
FORM 4 (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. Conversion
or Exercise
Price of Derivative Security

3. Transaction
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 Exercisable
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
Following
Reported
Transaction(s)
(Instr. 4)

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

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

Code

V

(A)

(D)

Date Exer-cisable

Expira-
tion
Date

Title

Amount or Number of
Shares

Options to Purchase

 

 

 

 

 

 

 

 

 

 

 

 

12,500

D

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Explanation of Responses:

Note 1. Restricted shares vesting on 3/7/2004.
Note 2. Includes shares receipt of which has been deferred.

  /s/ Cotton M. Cleveland, By: O. Kay Comendul/POA
**Signature of Reporting Person		 March 10, 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 is insufficient, See Instruction 6 for procedure.

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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