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