0001127602-13-004772.txt : 20130207 0001127602-13-004772.hdr.sgml : 20130207 20130207160623 ACCESSION NUMBER: 0001127602-13-004772 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130205 FILED AS OF DATE: 20130207 DATE AS OF CHANGE: 20130207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUTLER GREGORY B CENTRAL INDEX KEY: 0001192333 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 13582487 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 2013-02-05 0000072741 NORTHEAST UTILITIES NU 0001192333 BUTLER GREGORY B C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 Sr VP, General Counsel & Secy Common Shares, $5.00 par value 2013-02-05 4 A 0 9100 0 A 155490 D Common Shares, $5.00 par value 4230 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 191 191 D Grant of restricted share units (RSUs) which vests in three equal portions on February 4, 2014, 2015, and 2016. Restricted share units are distributable in Northeast Utilities common shares on a one-for-one basis. RSU holders are entitled to receive dividend equivalents, exempt from line item reporting under SEC Rule 16a-11, to the same extent dividends are paid on common shares. Includes shares and restricted share units and dividend equivalents thereon. 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 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. /s/ Gregory B. Butler 2013-02-07