0001127602-13-001398.txt : 20130108 0001127602-13-001398.hdr.sgml : 20130108 20130108153221 ACCESSION NUMBER: 0001127602-13-001398 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130104 FILED AS OF DATE: 20130108 DATE AS OF CHANGE: 20130108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUTH JAY S. CENTRAL INDEX KEY: 0001425286 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 13518107 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 56 PROSPECT STREET CITY: HARTFORD STATE: CT ZIP: 06103 FORMER NAME: FORMER CONFORMED NAME: Buth Jay DATE OF NAME CHANGE: 20080128 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 2013-01-04 0000072741 NORTHEAST UTILITIES NU 0001425286 BUTH JAY S. C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 VP, Controller, Chief Acct Off Common Shares, $5.00 par value 2013-01-04 4 X 0 147 A 16096 D Common Shares, $5.00 par value 2013-01-04 4 D 0 147 39.64 D 15949 D Common Shares, $5.00 par value 525 I 401k Plan Phantom Shares 2013-01-04 4 X 0 147 D Common Shares, $5.00 par value 147 0 D Reporting Person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation 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. Includes restricted share units and dividend equivalents thereon. Each phantom share was the economic equivalent of one common share of the Issuer. On January 4, 2013, due to a previous election, Mr. Buth 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. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the plan's recordkeeper. Jay S. Buth 2013-01-07