Filing Details

Accession Number:
0001127602-12-028910
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-10-19 19:06:32
Reporting Period:
2012-10-17
Filing Date:
2012-10-19
Accepted Time:
2012-10-19 19:06:32
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
1101384 J Thomas May C/O Northeast Utilities
One Federal Street, Building 111-4
Springfield MA 01105
President, Ceo & Trustee 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 Acquisiton 2012-10-17 262,400 $18.45 632,136 No 4 M Direct
Common Shares, $5.00 Par Value Acquisiton 2012-10-17 73,682 $22.57 705,818 No 4 M Direct
Common Shares, $5.00 Par Value Disposition 2012-10-17 336,082 $39.56 369,736 No 4 S Direct
Common Shares, $5.00 Par Value Acquisiton 2012-10-18 188,718 $22.57 558,454 No 4 M Direct
Common Shares, $5.00 Par Value Disposition 2012-10-18 188,718 $39.52 369,736 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Shares, $5.00 Par Value Employee Stock Option (Right to Buy) Disposition 2012-10-17 262,400 $0.00 262,400 $18.45
Common Shares, $5.00 Par Value Employee Stock Option (Right to Buy) Disposition 2012-10-17 73,682 $0.00 73,682 $22.57
Common Shares, $5.00 Par Value Employee Stock Option (Right to Buy) Disposition 2012-10-18 188,718 $0.00 188,718 $22.57
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-04-28 2014-04-28 No 4 M Direct
188,718 2008-06-09 2015-06-09 No 4 M Direct
0 2008-06-09 2015-06-09 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares, $5.00 Par Value 61,190 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 $0.00 818,977 818,977 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
818,977 818,977 Direct
Footnotes
  1. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.50 to $39.72, 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 number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.
  2. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.50 to $39.58, inclusive.
  3. Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive the cash value of one 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.