0001127602-13-002208.txt : 20130117 0001127602-13-002208.hdr.sgml : 20130117 20130117183752 ACCESSION NUMBER: 0001127602-13-002208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130115 FILED AS OF DATE: 20130117 DATE AS OF CHANGE: 20130117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GIFFORD CHARLES K CENTRAL INDEX KEY: 0001195062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 13535918 MAIL ADDRESS: STREET 1: FLEETBOSTON FINANCIAL CORP STREET 2: 100 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 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 2013-01-15 0000072741 NORTHEAST UTILITIES NU 0001195062 GIFFORD CHARLES K C/O NORTHEAST UTILITIES ONE FEDERAL STREET, BUILDING 111-4 SPRINGFIELD MA 01105 1 Trustee Common Shares, $5.00 par value 2013-01-15 4 A 0 2545 0 A 10197 D Phantom Shares Common Shares, $5.00 par value 41807 41807 D Restricted share units that will vest on January 16, 2013, receipt of which has been deferred. Distribution will be made on a one-for-one basis in Common Shares on the 10th business day of January of the year following the reporting person's retirement from Board services. The reporting person's total includes restricted share units and shares, receipt of all of which has been deferred, and dividend equivalents thereon. Reporting Person's deferred compensation under the NSTAR Trustee Deferred Plan, a non-qualified 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. /s/O. Kay Comendul, Attorney-in-fact for Charles K. Gifford 2013-01-17