- 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||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||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|
- 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.
- 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 $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.
- Shares held in trust under the NSTAR 401k Plan, a qualified plan, according to information supplied by the plan's record keeper.
- 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.