0001127602-12-022607.txt : 20120719
0001127602-12-022607.hdr.sgml : 20120719
20120719150545
ACCESSION NUMBER: 0001127602-12-022607
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120717
FILED AS OF DATE: 20120719
DATE AS OF CHANGE: 20120719
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VAN FAASEN WILLIAM C
CENTRAL INDEX KEY: 0001193878
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05324
FILM NUMBER: 12969912
MAIL ADDRESS:
STREET 1: 1499 POST ROAD
CITY: FAIRFIELD
STATE: CT
ZIP: 06824
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
X0306
4
2012-07-17
0000072741
NORTHEAST UTILITIES
NU
0001193878
VAN FAASEN WILLIAM C
C/O NORTHEAST UTILITIES
ONE FEDERAL STREET, BUILDING 111-4
SPRINGFIELD
MA
01105
1
Trustee
Common Shares, $5.00 par value
2012-07-17
4
A
0
1434
0
A
1434
D
Phantom Shares
Common Shares, $5.00 par value
26186
26186
D
Restricted share units all of which vest on January 10, 2013, unless the Reporting Person's service as a Trustee terminates for any reason other than cause on a date prior to January 10, 2013, in which case the RSUs will vest (i) in their entirety for Trustees age 65 and over on such date, or (ii) prorated for service as a Trustee in the nine months preceding January 10, 2013 for any person who ceases to be Trustee prior to attaining the age of 65 on such date (and the balance of the unvested RSUs will be forfeited). The RSUs will be forfeited if the Reporting Person's service as a Trustee terminates for cause.
Reporting Person's deferred compensation under the NSTAR Trustee Deferred Plan, a non-qualified plan, that is 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/ Jeffrey C. Miller, attorney-in-fact for William C. Van Faasen
2012-07-19