-----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, Mrye9ahDd7fz88ENYIQycsO0eF4Xf1XExCdP4O33e2pQDPGlKi3KxvzTk0iUjgIl wbsVp8wT9dLtM7lsf2ZQCg== 0001127602-11-000986.txt : 20110105 0001127602-11-000986.hdr.sgml : 20110105 20110105151513 ACCESSION NUMBER: 0001127602-11-000986 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110103 FILED AS OF DATE: 20110105 DATE AS OF CHANGE: 20110105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CLEVELAND COTTON M CENTRAL INDEX KEY: 0001192334 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 11510490 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 107 SELDEN STREET CITY: BERLIN STATE: CT ZIP: 06037 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 4 1 form4.xml PRIMARY DOCUMENT X0303 4 2011-01-03 0000072741 NORTHEAST UTILITIES NU 0001192334 CLEVELAND COTTON M C/O NORTHEAST UTILITIES ONE FEDERAL STREET, BUILDING 111-4 SPRINGFIELD MA 01105 1 Trustee Common Shares, $5.00 par value 2011-01-03 4 A 0 3000 0 A 38949 D Common Shares, $5.00 par value 2011-01-03 4 M 0 2500 21.03 A 41449 D Common Shares, $5.00 par value 2011-01-03 4 S 0 2500 32.05 D 38949 D Employee Stock Option (Right to Buy) 21.03 2011-01-03 4 M 0 2500 0 D 2002-02-27 2011-02-27 Common Shares, $5.00 par value 2500 0 D Restricted share units, subject to full vesting on January 10, 2012, or pursuant to 2007 standing resolution, earlier vesting on termination not for cause providing for (i) full vesting on separation from the Board of Trustees at or after age 65, and (ii) for Trustees separating before age 65, prorated vesting for time worked in each month prior to January 10, 2012. Ms. Cleveland's total includes restricted share units receipt of which has been deferred, and dividend equivalents thereon. Ms. Cleveland beneficially owns 2,500 vested options to purchase Common Shares, the ownership of which was previously reported on Form 4. The options exercised to purchase 2,500 Common Shares were granted on February 27, 2001 that vested 50% on that date and 50% on February 27, 2002. The options exercised and the sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Ms. Cleveland. Cotton M. Cleveland, By: O. Kay Comendul/POA 2011-01-05 -----END PRIVACY-ENHANCED MESSAGE-----