Filing Details
- Accession Number:
- 0001127602-14-033318
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-24 16:05:31
- Reporting Period:
- 2014-11-20
- Filing Date:
- 2014-11-24
- Accepted Time:
- 2014-11-24 16:05:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 72741 | Northeast Utilities | NU | Electric Services (4911) | 042147929 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1314616 | J Leon Olivier | C/O Northeast Utilities 56 Prospect Street Hartford CT 06103 | Evp-Business Development | No | Yes | No | No |
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 | 2014-11-20 | 100 | $50.01 | 153,417 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2014-11-20 | 2,042 | $50.02 | 151,375 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2014-11-20 | 2,550 | $0.00 | 148,825 | No | 5 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 5 | G | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares, $5.00 Par Value | 3,151 | Indirect | By 401(k) Plan Trustee |
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 | 3,726 | 3,726 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 3,726 | 3,726 | Direct |
Footnotes
- Includes restricted share units and dividend equivalents thereon.
- 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 the line item reporting under SEC Rule 16a-11.
Billionaire Hedge Funds
