0001127602-13-004774.txt : 20130207 0001127602-13-004774.hdr.sgml : 20130207 20130207160759 ACCESSION NUMBER: 0001127602-13-004774 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: Carmody Christine M CENTRAL INDEX KEY: 0001441845 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 13582517 MAIL ADDRESS: STREET 1: 800 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02199 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 0001441845 Carmody Christine M C/O NORTHEAST UTILITIES ONE FEDERAL STREET, BUILDING 111-4 SPRINGFIELD MA 01105 1 SVP - Human Resources Common Shares, $5.00 par value 2013-02-05 4 A 0 4500 0 A 55561 D Common Shares, $5.00 par value 5667 I 401k Phantom Shares Common Shares, $5.00 par value 17019 17019 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 unvested deferred shares, which include dividend equivalents upon distribution, exempt from the line item reporting under SEC Rule 16a-11. Includes shares acquired through the NSTAR 401(k) Plan, including dividend equivalents. Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive one common share upon distribution, following vesting. The reporting person is eligible to receive dividend equivalents on outstanding phantom shares, exempt from the line item reporting under SEC Rule 16a-11. /s/ Richard J. Morrison, attorney-in-fact for Ms. Carmody 2013-02-07