Filing Details
- Accession Number:
- 0001127602-12-011303
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-19 20:19:41
- Reporting Period:
- 2012-03-15
- Filing Date:
- 2012-03-19
- Accepted Time:
- 2012-03-19 20:19:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1415289 | M Jean Lavecchia | C/O Northeast Utilities 107 Selden Street Berlin CT 06037 | Vp-Human Resources | 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 | 2012-03-15 | 918 | $36.74 | 30,908 | No | 4 | F | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2012-03-16 | 500 | $36.53 | 30,408 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2012-03-16 | 550 | $0.00 | 29,858 | No | 5 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | 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 | 2,833 | 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 | 578 | 578 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 578 | 578 | Direct |
Footnotes
- Disposition of performance shares under the 2009 - 2011 Long Term Incentive Plan, previously reported on February 21, 2012, to satisfy tax withholding obligations.
- Includes restricted share units and reinvested 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 recordkeeper.
- Matching contributions on reporting person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that are 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.
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