0001127602-12-013691.txt : 20120412 0001127602-12-013691.hdr.sgml : 20120412 20120412153342 ACCESSION NUMBER: 0001127602-12-013691 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120410 FILED AS OF DATE: 20120412 DATE AS OF CHANGE: 20120412 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: 12756446 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 X0305 4 2012-04-10 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 2012-04-10 4 A 0 57933 0 A 179819 D Common Shares, $5.00 par value 2298 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 2934 2934 D This acquisition includes awards of shares of Northeast Utilities ("Issuer") common stock and/or restricted stock units made by the Issuer upon the consummation of the Issuer's merger with NSTAR, including pursuant to or in substitution for previously awarded performance-based awards, as further described in Item 11 of the Annual Report on Form 10-K filed by the Issuer on February 24, 2012 under the caption "Executive Compensation-- Long-Term Incentive Programs". Such restricted stock units may be settled only in shares of Issuer common stock and are generally subject to continuing-service vesting conditions. 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. /s/Leon J. Olivier 2012-04-12