-----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, FSZ3eWwmMgwOIcf8MoNG7KK24//n24Qcltj3b2EOsePrEOFdJOQDF8+eZgzJ2j+p nLfY41dKKsvGqhchvCndsw== 0001127602-11-008036.txt : 20110301 0001127602-11-008036.hdr.sgml : 20110301 20110301155205 ACCESSION NUMBER: 0001127602-11-008036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110225 FILED AS OF DATE: 20110301 DATE AS OF CHANGE: 20110301 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: 11651482 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 2011-02-25 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 2011-02-25 4 F 0 1366 33.17 D 554832 D Common Shares, $5.00 par value 2044 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 8647 8647 D Disposition of restricted share units upon vesting to satisfy tax withholding obligations. Includes restricted share units and dividend equivalents thereon. In addition, Mr. Shivery holds 29,024 options to purchase Northeast Utilities common shares, previously reported on Form 4. Of the total shares owned, Mr. Shivery holds 1,500 of these shares jointly with his spouse. Mr. Shivery's total includes 76,406 restricted share units that will vest eighteen months after the closing of the merger with NSTAR, coincident with Mr. Shivery's service as a non-executive member of the Board of Trustees. Shares held in trust under the Northeast Utilities Service Company 401K Plan, as of February 25, 2011, according to information supplied by the plan's record keeper. 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 2011-03-01 -----END PRIVACY-ENHANCED MESSAGE-----