0001127602-12-011309.txt : 20120319
0001127602-12-011309.hdr.sgml : 20120319
20120319202703
ACCESSION NUMBER: 0001127602-12-011309
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: SHIVERY CHARLES W
CENTRAL INDEX KEY: 0001054818
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05324
FILM NUMBER: 12701965
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
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
2012-03-15
4
F
0
15192
36.74
D
614686
D
Common Shares, $5.00 par value
2012-03-16
4
M
0
29024
18.90
A
643710
D
Common Shares, $5.00 par value
2012-03-16
4
S
0
29024
36.397
D
614686
D
Common Shares, $5.00 par value
2276
I
By 401(k) Plan Trustee
Employee Stock Option (Right to Buy)
18.90
2012-03-16
4
M
0
29024
0
D
2003-06-11
2012-06-11
Common Shares, $5.00 par value
29024
0
D
Phantom Shares
Common Shares, $5.00 par value
9638
9638
D
Disposition of performance shares under the 2009 - 2011 Long Term Incentive Plan, previously reported on February 17, 2012, to satisfy tax withholding obligations.
Includes restricted share units and dividend equivalents thereon. In addition, of the total owned, the reporting person holds 1,500 of these shares jointly with his spouse.
The options exercised to purchase 29,024 common shares were granted on June 11, 2002, and were vested and approaching expiration on June 11, 2012.
The transaction was executed in multiple trades at prices ranging from $36.39 to $36.431. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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 contributions 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 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.
/s/ Jeffrey C. Miller, authorized signatory for Mr. Shivery
2012-03-19