0001127602-13-003927.txt : 20130204 0001127602-13-003927.hdr.sgml : 20130204 20130204163822 ACCESSION NUMBER: 0001127602-13-003927 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130131 FILED AS OF DATE: 20130204 DATE AS OF CHANGE: 20130204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHIVERY CHARLES W CENTRAL INDEX KEY: 0001054818 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 13570515 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 56 PROSPECT STREET CITY: HARTFORD STATE: CT ZIP: 06103 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 2013-01-31 0000072741 NORTHEAST UTILITIES NU 0001054818 SHIVERY CHARLES W C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 Non-Exec Chmn of Bd; Trustee Common Shares, $5.00 par value 2013-02-01 4 X 0 55 A 635544 D Common Shares, $5.00 par value 2013-02-01 4 D 0 55 41.18 D 635489 D Common Shares, $5.00 par value 2381 I By 401(k) Plan Trustee Phantom Shares 2013-01-31 4 A 0 55 36.4659 A Common Shares, $5.00 par value 55 55 D Phantom Shares 2013-02-01 4 X 0 55 D Common Shares, $5.00 par value 55 0 D Matching contributions on Reporting Person's 2012 deferred compensation contributions under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan (the "Plan"), that are nominally invested as common shares. Each phantom share represents the right to receive cash value of one Northeast Utilities common share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule 16a-11. Includes restricted share units and dividend equivalents thereon. The Reporting Person holds 1,500 of these shares jointly with his spouse. Distribution from the Plan in respect of matching contributions on Reporting Person's 2012 deferred compensaton, on February 1, 2013. Previously, on October 11, 2012, in connection with his retirement from employee service with Northeast Utilities, the Reporting Person became entitled to a distribution of his entire account in the Plan. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the plan's record keeper. Reporting Person's deferred compensation under the 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 line item reporting under SEC Rule 16a-11. The price in Column 8 is a weighted average price. These matching shares were determined at prices per share ranging from $35.92 to $36.89, inclusive. The Reporting Person undertakes to provide to Northeast Utilities, any security holder of Northeast Utilities, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares determined at each price within the range. Charles W. Shivery 2013-02-04