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