0001127602-14-002714.txt : 20140123
0001127602-14-002714.hdr.sgml : 20140123
20140123165901
ACCESSION NUMBER: 0001127602-14-002714
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140121
FILED AS OF DATE: 20140123
DATE AS OF CHANGE: 20140123
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MAY THOMAS J
CENTRAL INDEX KEY: 0001101384
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05324
FILM NUMBER: 14543561
MAIL ADDRESS:
STREET 1: C/O NORTHEAST UTILITIES
STREET 2: ONE FEDERAL STREET, BUILDING 111-4
CITY: SPRINGFIELD
STATE: MA
ZIP: 01105
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2014-01-21
0000072741
NORTHEAST UTILITIES
NU
0001101384
MAY THOMAS J
C/O NORTHEAST UTILITIES
ONE FEDERAL STREET, BUILDING 111-4
SPRINGFIELD
MA
01105
1
President, CEO & Trustee
Common Shares, $5.00 par value
2014-01-21
4
M
0
244032
28.12
A
540150
D
Common Shares, $5.00 par value
2014-01-21
4
M
0
196800
24.74
A
736950
D
Common Shares, $5.00 par value
2014-01-21
4
S
0
440832
43.0358
D
296118
D
Common Shares, $5.00 par value
63379
I
401k Plan
Employee Stock Option (Right to Buy)
28.12
2014-01-21
4
M
0
244032
0
D
2010-05-03
2017-05-03
Common Shares, $5.00 par value
244032
0
D
Employee Stock Option (Right to Buy)
24.74
2014-01-21
4
M
0
196800
0
D
2011-01-24
2018-01-24
Common Shares, $5.00 par value
196800
0
D
Phantom Shares
Common Shares, $5.00 par value
859558
859558
D
Includes restricted share units and dividend equivalents thereon.
This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2013.
The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.10, 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 number of shares sold within the range set forth above.
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 NSTAR Deferred Compensation Plan, which was merged into the NU Deferred Compensation Plan effective January 1, 2014, which deferred compensation is nominally invested as common shares. Each phantom share represents the right to receive 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/ Kerry J. Tomasevich, attorney-in-fact for Mr. May
2014-01-23
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC): EXHIBIT 24
EXHIBIT 24
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes
and appoints each of Gregory B. Butler, Richard J. Morrison, Kerry J.
Tomasevich, and Matthew Benson, signing singly, as his true and lawful
attorney-in-fact to:
(1) Obtain necessary EDGAR access codes and execute for and on
behalf of the undersigned Forms 144 under the Securities Act of 1933
and Rule 144 promulgated thereunder, and Forms 3, 4 and 5 in accordance
with Section 16(a) of the Securities Exchange Act of 1934 and the rules
thereunder;
(2) Do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete the
execution of any such Form 144 and Form 3, 4 and 5 and the timely
filing of such form with the United States Securities and Exchange
Commission and any other authority; and
(3) Take any other action of any type whatsoever in connection
with the foregoing which, in the opinion of such attorney-in-fact, may
be of benefit to, in the best interest of, or legally required by, the
undersigned, it being understood that the documents executed by
such attorney-in-fact on behalf of the undersigned pursuant to this
Power of Attorney shall be in such form and shall contain such terms
and conditions as such attorney-in-fact may approve in his discretion.
The undersigned hereby grants to each such attorney-in-fact full
power and authority to do and perform all and every act and thing
whatsoever requisite, necessary and proper to be done in the exercise
of any of the rights and powers herein granted, as fully to all intents and
purposes as such attorney-in-fact might or could do if personally present,
with full power of substitution or revocation, hereby ratifying and
confirming all that such attorney-in-fact, or his substitute or substitutes,
shall lawfully do or cause to be done by virtue of this power of attorney
and the rights and powers herein granted. The undersigned acknowledges
that the foregoing attorneys-in-fact, in serving in such capacity at the
request of the undersigned, are not assuming any of the undersigned's
responsibilities to comply with Rule 144 of the Securities Act of 1933
and/or Section 16 of the Securities Exchange Act of 1934.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of April 2, 2013.
/S/ THOMAS J. MAY
Thomas J. May
State of Massachusetts
County of Suffolk
On this 2nd day of April, 2013, before me personally appeared Thomas J.
May, to me known to be the person described in and who executed the
foregoing instrument, and acknowledged that he executed the same as his
free act and deed.
/S/ RICHARD J. MORRISON
Notary Public
Print Name: Richard J. Morrison
My commission expires: January 31, 2014