0001127602-13-010333.txt : 20130311
0001127602-13-010333.hdr.sgml : 20130311
20130311184658
ACCESSION NUMBER: 0001127602-13-010333
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130307
FILED AS OF DATE: 20130311
DATE AS OF CHANGE: 20130311
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: 13682195
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
2013-03-07
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
2013-03-07
4
M
0
6560
24.74
A
62121
D
Common Shares, $5.00 par value
2013-03-07
4
M
0
9500
25.93
A
71621
D
Common Shares, $5.00 par value
2013-03-07
4
S
0
16060
42.5765
D
55561
D
Common Shares, $5.00 par value
5922
I
401k
Employee Stock Option (Right to Buy)
24.74
2013-03-07
4
M
0
6560
0
D
2011-01-24
2018-01-24
Common Shares, $5.00 par value
6560
0
D
Employee Stock Option (Right to Buy)
25.93
2013-03-07
4
M
0
9500
0
D
2012-01-22
2019-01-22
Common Shares, $5.00 par value
9500
8868
D
Phantom Shares
Common Shares, $5.00 par value
17019
17019
D
Includes restricted share units and dividend equivalents thereon.
The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.43 to $42.69, inclusive. The reporting person undertakes to provide 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 sold at each separate price within the range set forth above.
Shares held in trust under the NSTAR 401k Plan, a qualified plan, according to information supplied by the plan's record keeper.
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
2013-03-07