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