Filing Details

Accession Number:
0001127602-13-031710
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-15 11:51:47
Reporting Period:
2013-11-13
Filing Date:
2013-11-15
Accepted Time:
2013-11-15 11:51:47
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
Executive Vp And Coo 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 2013-11-13 21,000 $41.83 150,522 No 4 S Direct
Common Shares, $5.00 Par Value Disposition 2013-11-13 3,333 $0.00 147,189 No 5 G Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2,809 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 3,358 3,358 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
3,358 3,358 Direct
Footnotes
  1. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.830 to $41.850, 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 the number of shares sold at each separate price within the range set forth above.
  2. Includes restricted share units and dividend equivalents thereon.
  3. 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.
  4. The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified plan (the DCP), made as matching contributions under the DCP. Each phantom share represents the right to receive the cash value of one share of NU Common upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule for 16a-11.