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