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