-----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, EL9fBP7Hx/AHRjElHVwyjgTMLx5QOf0YF8yKI4j9n7NmkNtvRopVMGTwYTXD4taE KKi4k4BaT8QDt3JxCYtTIQ== 0000205716-03-000167.txt : 20031031 0000205716-03-000167.hdr.sgml : 20031031 20031031141622 ACCESSION NUMBER: 0000205716-03-000167 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031029 FILED AS OF DATE: 20031031 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FORSGREN JOHN H CENTRAL INDEX KEY: 0001082843 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 03969373 BUSINESS ADDRESS: STREET 1: C/O NORTHEAST OPTIC NETWORK INC STREET 2: 391 TOTTEX POND RD. CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 9782874275 ISSUER: 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 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 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-10-29 0 0000072741 NORTHEAST UTILITIES SYSTEM NU 0001082843 FORSGREN JOHN H C/O NORTHEAST UTILITIES 107 SELDEN STREET BERLIN CT 06037 0 1 0 1 V. Chairman, EVP & CFO Trustee Common Shares, $5 par value 2003-10-29 4 M 0 36000 18.4375 A 76920 D Common Shares, $5 par value 2003-10-29 4 M 0 45519 16.3125 A 122839 D Common Shares, $5 par value 2003-10-29 4 S 0 1500 19.07 D 121339 D Common Shares, $5 par value 2003-10-29 4 S 0 2000 19.08 D 119339 D Common Shares, $5 par value 2003-10-29 4 S 0 1800 19.09 D 117539 D Common Shares, $5 par value 2003-10-29 4 S 0 9200 19.1 D 108339 D Common Shares, $5 par value 2003-10-29 4 S 0 22800 19.11 D 85539 D Common Shares, $5 par value 2003-10-29 4 S 0 12300 19.12 D 73239 D Common Shares, $5 par value 2003-10-29 4 S 0 1900 19.13 D 71339 D Common Shares, $5 par value 2003-10-29 4 S 0 4700 19.14 D 66639 D Common Shares, $5 par value 2003-10-29 4 S 0 16100 19.15 D 50539 D Common Shares, $5 par value 2003-10-29 4 S 0 1600 19.16 D 48939 D Common Shares, $5 par value 2003-10-29 4 S 0 6800 19.17 D 42139 D Common Shares, $5 par value 2003-10-29 4 S 0 1219 19.18 D 40920 D Options to Purchase 18.4375 2003-10-29 4 M 0 1500 19.07 D 2001-02-22 2010-02-21 Common Shares, $5 par value 1500 232819 D Options to Purchase 18.4375 2003-10-29 4 M 0 2000 19.08 D 2001-02-22 2010-02-22 Common Shares, $5 par value 2000 230819 D Options to Purchase 18.4375 2003-10-29 4 M 0 700 19.09 D 2001-02-22 2010-02-22 Common Shares, $5 par value 700 230119 D Options to Purchase 18.4375 2003-10-29 4 M 0 6500 19.1 D 2001-02-22 2010-02-22 Common Shares, $5 par value 6500 223619 D Options to Purchase 18.4375 2003-10-29 4 M 0 10300 19.11 D 2001-02-22 2010-02-22 Common Shares, $5 par value 10300 213319 D Options to Purchase 18.4375 2003-10-29 4 M 0 8300 19.12 D 2001-02-22 2010-02-22 Common Shares, $5 par value 8300 205019 D Options to Purchase 18.4375 2003-10-29 4 M 0 600 19.13 D 2001-02-22 2010-02-22 Common Shares, $5 par value 600 204419 D Options to Purchase 18.4375 2003-10-29 4 M 0 1000 19.14 D 2001-02-22 2010-02-22 Common Shares, $5 par value 1000 203419 D Options to Purchase 18.4375 2003-10-29 4 M 0 5100 19.15 D 2001-02-22 2010-02-22 Common Shares, $5 par value 5100 198319 D Options to Purchase 16.3125 2003-10-29 4 M 0 1100 19.09 D 1999-05-19 2008-05-19 Common Shares, $5 par value 1100 197219 D Options to Purchase 16.3125 2003-10-29 4 M 0 2700 19.1 D 1999-05-19 2008-05-19 Common Shares, $5 par value 2700 194519 D Options to Purchase 16.3125 2003-10-29 4 M 0 12500 19.11 D 1999-05-19 2008-05-19 Common Shares, $5 par value 12500 182019 D Options to Purchase 16.3125 2003-10-29 4 M 0 4000 19.12 D 1999-05-19 2008-05-19 Common Shares, $5 par value 4000 178019 D Options to Purchase 16.3125 2003-10-29 4 M 0 1300 19.13 D 1999-05-19 2008-05-19 Common Shares, $5 par value 1300 176719 D Options to Purchase 16.3125 2003-10-29 4 M 0 3700 19.14 D 1999-05-19 2008-05-19 Common Shares, $5 par value 3700 173019 D Options to Purchase 16.3125 2003-10-29 4 M 0 11000 19.15 D 1999-05-19 2008-05-19 Common Shares, $5 par value 11000 162019 D Options to Purchase 16.3125 2003-10-29 4 M 0 1600 19.16 D 1999-05-19 2008-05-19 Common Shares, $5 par value 1600 160419 D Options to Purchase 16.3125 2003-10-29 4 M 0 6800 19.17 D 1999-05-19 2008-05-19 Common Shares, $5 par value 6800 153619 D Options to Purchase 16.3125 2003-10-29 4 M 0 1219 19.18 D 1999-05-19 2008-05-19 Common Shares, $5 par value 1219 152400 D This is a running tally as per Q & A 3 of the Division of Corporate Finance's "Section 16 Electronic Reporting Frequently Asked Questions" dated March 13, 2003. In addition, as of October 28, 2003 Mr. Forsgren beneficially owned 1,339 shares indirectly, which are held for him in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the plan's recordkeeper. Vesting ratably over 3 years. /s/ John H. Forsgren 2003-10-31 -----END PRIVACY-ENHANCED MESSAGE-----