0001127602-14-032121.txt : 20141113 0001127602-14-032121.hdr.sgml : 20141113 20141113140313 ACCESSION NUMBER: 0001127602-14-032121 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141112 FILED AS OF DATE: 20141113 DATE AS OF CHANGE: 20141113 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: McHale David R CENTRAL INDEX KEY: 0001313990 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 141217685 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 56 PROSPECT STREET CITY: HARTFORD STATE: CT ZIP: 06103 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-11-12 0000072741 NORTHEAST UTILITIES NU 0001313990 McHale David R C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 EVP and Chief Admin Off Common Shares, $5.00 par value 2014-11-12 5 G 0 E 3000 0 D 168029 D Common Shares, $5.00 par value 2014-11-12 4 S 0 17000 49.3494 D 151029 D Common Shares, $5.00 par value 7310 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 1084 1084 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 $49.25 to $49.49, 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 Mr. McHale 2014-11-13