0001127602-12-028648.txt : 20121012
0001127602-12-028648.hdr.sgml : 20121012
20121012190015
ACCESSION NUMBER: 0001127602-12-028648
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121010
FILED AS OF DATE: 20121012
DATE AS OF CHANGE: 20121012
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: 121142657
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
X0306
4
2012-10-10
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
2012-10-10
4
F
0
8238
39.43
D
772607
D
Common Shares, $5.00 par value
2012-10-11
4
X
0
9888
A
782495
D
Common Shares, $5.00 par value
2012-10-11
4
D
0
9888
39.04
D
772607
D
Common Shares, $5.00 par value
2360
I
By 401(k) Plan Trustee
Phantom Shares
2012-10-11
4
X
0
9888
D
Common Shares, $5.00 par value
9888
0
D
Reduction of restricted share units to satisfy tax withholding obligations.
Includes restricted share units and dividend equivalents thereon. Of the total shares owned, the reporting person holds 1,500 of these shares with his spouse.
Each phantom share was the economic equivalent of one common share of the Issuer. On October 11, 2012, due to his retirement from employee service with the Issuer, Mr. Shivery became entitled to a distribution of his entire account in the Issuer's Deferred Compensation Plan for Executives (a non-qualified plan), including the phantom shares.
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.
Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the plan's recordkeeper.
/s/ O. Kay Comendul, authorized signatory for Mr. Shivery
2012-10-12