0001127602-12-013692.txt : 20120412
0001127602-12-013692.hdr.sgml : 20120412
20120412153555
ACCESSION NUMBER: 0001127602-12-013692
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: SHIVERY CHARLES W
CENTRAL INDEX KEY: 0001054818
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05324
FILM NUMBER: 12756454
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
0001054818
SHIVERY CHARLES W
C/O NORTHEAST UTILITIES
56 PROSPECT STREET
HARTFORD
CT
06103
1
Non-Exec Chmn of Bd; Trustee
Common Shares, $5.00 par value
2012-04-10
4
A
0
164730
0
A
783829
D
Common Shares, $5.00 par value
2012-04-10
4
D
0
17011
0
D
766818
D
Common Shares, $5.00 par value
2318
I
By 401(k) Plan Trustee
Phantom Shares
Common Shares, $5.00 par value
9714
9714
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 in part subject to continuing-service vesting conditions.
Includes restricted share units and dividend equivalents thereon. Of the total shares owned, the reporting person holds 1,500 of these shares jointly with his spouse.
These unvested restricted stock units were forfeited by the reporting person upon retirement from his position as Issuer's executive Chairman, President and Chief Executive Officer.
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
2012-04-12