0001127602-12-011306.txt : 20120319 0001127602-12-011306.hdr.sgml : 20120319 20120319202319 ACCESSION NUMBER: 0001127602-12-011306 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120315 FILED AS OF DATE: 20120319 DATE AS OF CHANGE: 20120319 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: 12701960 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 2012-03-15 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 2012-03-15 4 F 0 3850 36.74 D 121298 D Common Shares, $5.00 par value 2222 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 2911 2911 D Disposition of performance shares under the 2009 - 2011 Long Term Incentive Plan, previously reported on February 21, 2012, to satisfy tax withholding obligations. Includes restricted share units and 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. Matching contributions on reporting person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that are nominally invested as common shares. Each phantom share represents the right to receive the cash value of one NU common share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from the line item reporting under SEC Rule 16a-11. Reflects a one share adjustment related to tax withholdings. /s/Jeffrey C. Miller, attorney in fact for Mr. Olivier 2012-03-19