0001127602-14-026635.txt : 20140827 0001127602-14-026635.hdr.sgml : 20140827 20140827163337 ACCESSION NUMBER: 0001127602-14-026635 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140825 FILED AS OF DATE: 20140827 DATE AS OF CHANGE: 20140827 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: 300 CADWELL DRIVE CITY: SPRINGFIELD STATE: MA ZIP: 01104 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: Carmody Christine M CENTRAL INDEX KEY: 0001441845 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 141068776 MAIL ADDRESS: STREET 1: 800 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02199 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-08-25 0000072741 NORTHEAST UTILITIES NU 0001441845 Carmody Christine M C/O NORTHEAST UTILITIES 300 CADWELL DRIVE SPRINGFIELD MA 01104 1 SVP - Human Resources Common Shares, $5.00 par value 2014-08-25 4 M 0 9840 28.12 A 70507 D Common Shares, $5.00 par value 2014-08-25 4 M 0 8868 25.93 A 79375 D Common Shares, $5.00 par value 2014-08-25 4 M 0 15744 26.90 A 95119 D Common Shares, $5.00 par value 2014-08-25 4 S 0 34452 45.3364 D 60667 D Common Shares, $5.00 par value 6448 I 401k Employee Stock Option (Right to Buy) 28.12 2014-08-25 4 M 0 9840 0 D 2010-05-03 2017-05-03 Common Shares, $5.00 par value 9840 0 D Employee Stock Option (Right to Buy) 25.93 2014-08-25 4 M 0 8868 0 D 2012-01-22 2019-01-22 Common Shares, $5.00 par value 8868 0 D Employee Stock Option (Right to Buy) 26.90 2014-08-25 4 M 0 15744 0 D 2012-04-10 2020-01-28 Common Shares, $5.00 par value 15744 0 D Phantom Shares Common Shares, $5.00 par value 17926 17926 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 $45.27 to $45.42, 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 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 Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that is nominally invested as common shares. Each phantom share represents the right to receive the cash value of one NU common share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule 16a-11. /s/ Kerry J. Tomasevich, attorney-in-fact for Ms. Carmody 2014-08-27