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