-----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, RqgDw9vPnd80f1cHkwmzK+ACI+N82hEJiijMXPIeDrHQoxJoPL4Ms1hGxWvsuwiW EPwIx9aGzV8dmTVZjkBVtQ== 0001127602-11-004790.txt : 20110210 0001127602-11-004790.hdr.sgml : 20110210 20110210150328 ACCESSION NUMBER: 0001127602-11-004790 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110208 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHIVERY CHARLES W CENTRAL INDEX KEY: 0001054818 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 11591915 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES SERVICE COMPANY 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 2011-02-08 0000072741 NORTHEAST UTILITIES NU 0001054818 SHIVERY CHARLES W C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 1 Chrmn of Bd, President & CEO Trustee Common Shares, $5.00 par value 2011-02-08 4 A 0 24526 0 A 479792 D Common Shares, $5.00 par value 2011-02-08 4 A 0 76406 0 A 556198 D Common Shares, $5.00 par value 1997 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 8647 8647 D Grant of restricted share units which vest in equal portions on February 25, 2012, 2013, 2014, distribution of which is delayed until after retirement. Restricted share units are distributable in Northeast Utilities Common Shares on a one-for-one basis. Includes restricted share units and dividend equivalents thereon. In addition, the reporting person holds 29,024 options to purchase Common Shares, previously reported on Form 4. Of the total shares owned, the reporting person holds 1,500 of these shares jointly with his spouse. Restricted share units that vest 18 months after closing of the merger with NSTAR, subject to forfeiture if: (i) the merger does not close, or (ii) Mr. Shivery does not complete 18 months of service as a non-executive Chairman of the NU Board of Trustees after the closing of the merger. Restricted share units are distributable in NU Common Shares on a one-for-one basis. Shares held in trust under the Northeast Utilities Service Company 401K Plan, a qualified plan, as of February 8, 2011, according to information supplied by the plan's recordkeeper. The reporting person holds phantom shares of NU Common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan (the DCP), made as matching contributions under the DCP. 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 exempt from line item reporting under SEC Rule 16a-11. Charles W. Shivery 2011-02-09 -----END PRIVACY-ENHANCED MESSAGE-----