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