0001127602-12-028915.txt : 20121019
0001127602-12-028915.hdr.sgml : 20121019
20121019205544
ACCESSION NUMBER: 0001127602-12-028915
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121017
FILED AS OF DATE: 20121019
DATE AS OF CHANGE: 20121019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JUDGE JAMES J
CENTRAL INDEX KEY: 0001214396
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05324
FILM NUMBER: 121153525
MAIL ADDRESS:
STREET 1: 800 BOYLSTON STREET
CITY: BOSTON
STATE: MA
ZIP: 02199
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
2012-10-17
0000072741
NORTHEAST UTILITIES
NU
0001214396
JUDGE JAMES J
C/O NORTHEAST UTILITIES
ONE FEDERAL STREET, BUILDING 111-4
SPRINGFIELD
MA
01105
1
EVP & CFO
Common Shares, $5.00 par value
2012-10-17
4
M
0
52480
28.12
A
241540
D
Common Shares, $5.00 par value
2012-10-17
4
M
0
39360
24.74
A
280900
D
Common Shares, $5.00 par value
2012-10-17
4
M
0
48544
25.93
A
329444
D
Common Shares, $5.00 par value
2012-10-17
4
M
0
39360
26.90
A
368804
D
Common Shares, $5.00 par value
2012-10-17
4
S
0
179744
39.50
D
189060
D
Common Shares, $5.00 par value
2012-10-17
4
M
0
34581
39.49
A
223641
D
Common Shares, $5.00 par value
2012-10-17
4
D
0
34581
39.49
D
189060
D
Common Shares, $5.00 par value
20927
I
401k Plan
Employee Stock Option (Right to Buy)
28.12
2012-10-17
4
M
0
52480
0
D
2010-05-03
2017-05-03
Common Shares, $5.00 par value
52480
0
D
Employee Stock Option (Right to Buy)
24.74
2012-10-17
4
M
0
39360
0
D
2011-01-24
2018-01-24
Common Shares, $5.00 par value
39360
0
D
Employee Stock Option (Right to Buy)
25.93
2012-10-17
4
M
0
48544
0
D
2012-01-22
2019-01-22
Common Shares, $5.00 par value
48544
0
D
Employee Stock Option (Right to Buy)
26.90
2012-10-17
4
M
0
39360
0
D
2012-04-10
2020-01-28
Common Shares, $5.00 par value
39360
0
D
Phantom Shares
2012-10-17
4
M
0
34581
0
D
Common Shares, $5.00 par value
34581
73884
D
This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2012.
The disposition of 34,581 Common Shares, which shares were held in the reporting person's accounts at State Street Bank and Trust Company pursuant to the terms of the NSTAR Deferred Compensation Plan, was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2012.
Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive the cash value of one 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.
Samuel K. Lee, attorney-in-fact for Mr. Judge
2012-10-19