0001127602-11-032911.txt : 20111220 0001127602-11-032911.hdr.sgml : 20111220 20111220152041 ACCESSION NUMBER: 0001127602-11-032911 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111215 FILED AS OF DATE: 20111220 DATE AS OF CHANGE: 20111220 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: 111271944 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 X0304 4 2011-12-15 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 2011-12-15 5 G 0 E 2916 34.68 D 112945 D Common Shares, $5.00 par value 2062 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 2817 2817 D Includes restricted share units and reinvested dividend equivalents thereon. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, 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. /s/Leon J. Olivier 2011-12-20