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