-----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, KDo1LqVIIDpnYvowBwmiL0UZXn6Xst0qqUQwbhwEDS07ph+XJT/+gqZHktlj8fnQ dLUrB2Dea+SjI1hwNb6v3g== 0001127602-11-001249.txt : 20110107 0001127602-11-001249.hdr.sgml : 20110107 20110107155443 ACCESSION NUMBER: 0001127602-11-001249 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110106 FILED AS OF DATE: 20110107 DATE AS OF CHANGE: 20110107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Olivier Leon J CENTRAL INDEX KEY: 0001314616 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 11517542 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 56 PROSPECT STREET CITY: HARTFORD STATE: CT ZIP: 06103 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 2011-01-06 0000072741 NORTHEAST UTILITIES NU 0001314616 Olivier Leon J C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 Executive VP and COO Common Shares, $5.00 par value 112853 D Common Shares, $5.00 par value 1847 I By 401(k) Plan Trustee Phantom Shares 2011-01-06 4 I 0 203 31.45 D Common Shares, $5.00 par value 203.059 2441 I Deferred Comp Plan Includes restricted share units and dividend equivalents thereon. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, as of January 6, 2011, accordng to information supplied by the Plan's record keeper. Cash distribution pursuant to advance election under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan (the DCP), part of which had been nominally invested as Common Shares (hereby referred to as Phantom Shares). Each Phantom share represents the right to receive the cash value of one share of NU Common upon a distribution event, following vesting. Additional Phantom Shares are issued upon the automatic reinvestment of dividend equivalents on Phantom Shares exempt from the line item reporting under SEC Rule 16a-11. /s/Leon J. Olivier 2011-01-07 -----END PRIVACY-ENHANCED MESSAGE-----