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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2013-03-07 19:36:20
Reporting Period:
Filing Date:
Filing Date Changed:
Accepted Time:
2013-03-07 19:36:20
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
72741 Northeast Utilities NU Electric Services (4911) 042147929
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1101384 J Thomas May C/o Northeast Utilities
One Federal Street, Buidling 111-4
Springfield MA 01105
President And Ceo No Yes No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares, $5.00 Par Value Disposition 2012-12-20 100,000 $0.00 294,286 No 4 G Direct
Common Shares, $5.00 Par Value Acquisiton 2012-12-20 100,000 $0.00 100,000 No 4 G Indirect By family trust
Common Shares, $5.00 Par Value Disposition 2013-03-05 100,000 $42.12 0 No 4 S Indirect By family trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 G Direct
No 4 G Indirect By family trust
No 4 S Indirect By family trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares, $5.00 Par Value 62,325 Indirect 401k Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Shares, $5.00 Par Value Phantom Shares $0.00 826,182 826,182 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
826,182 826,182 Direct
  1. Represents common shares held by a limited liability company (the "LLC"), of which the reporting person was a member. On December 20, 2012, the reporting person transferred membership interests of the LLC to his spouse and a family trust, of which the reporting person's spouse is a trustee for the benefit of certain members of the reporting person's family. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
  2. Includes restricted share units and dividend equivalents thereon.
  3. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.42 to $42.71, inclusive. The reporting person undertakes to provide Northeast Utilities, any security holder of Northeast Utilities, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
  4. Shares held in trust under the NSTAR 401k Plan, a qualified plan, according to information supplied by the plan's record keeper.
  5. Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive one common share upon distribution, following vesting. The reporting person is eligible to receive dividend equivalents on the outstanding phantom shares, exempt from line item reporting under SEC Rule 16a-11.

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