0001127602-14-002716.txt : 20140123 0001127602-14-002716.hdr.sgml : 20140123 20140123170034 ACCESSION NUMBER: 0001127602-14-002716 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 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: NOLAN JOSEPH R JR CENTRAL INDEX KEY: 0001214401 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 14543586 MAIL ADDRESS: STREET 1: 800 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02199 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-01-21 0000072741 NORTHEAST UTILITIES NU 0001214401 NOLAN JOSEPH R JR C/O NORTHEAST UTILITIES ONE FEDERAL STREET, BUILDING 111-4 SPRINGFIELD MA 01105 1 SVP-Corporate Relations Common Shares, $5.00 par value 2014-01-21 4 M 0 6560 24.74 A 63249 D Common Shares, $5.00 par value 2014-01-21 4 M 0 13995 25.93 A 77244 D Common Shares, $5.00 par value 2014-01-21 4 M 0 18368 26.90 A 95612 D Common Shares, $5.00 par value 2014-01-21 4 S 0 38923 43.001 D 56689 D Common Shares, $5.00 par value 15109 I 401k Plan Employee Stock Option (Right to Buy) 24.74 2014-01-21 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 2014-01-21 4 M 0 13995 0 D 2012-01-22 2019-01-22 Common Shares, $5.00 par value 13995 0 D Employee Stock Option (Right to Buy) 26.90 2014-01-21 4 M 0 18368 0 D 2013-01-28 2020-01-28 Common Shares, $5.00 par value 18368 0 D Phantom Shares Common Shares, $5.00 par value 48984 48984 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 December 2, 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 $43.02, 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 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. Nolan 2014-01-23